Compliance, Governance Analyst – RCM Controls (3976)

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TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The Global Compliance Business Transformation Enablement team supports the effective and sustainable execution of the Enterprise Regulatory Compliance Management (RCM) Controls Standard. The Enterprise RCM Framework operationalizes OSFI Guideline E-13 Regulatory Compliance Management (Guideline E-13) and provides an overview of the Banks risk-based RCM Program to manage applicable regulatory compliance risk. The RCM Controls program sets out the processes and key program elements through which Risk Owners and Oversight Functions globally are expected to manage and mitigate regulatory compliance risk inherent in their business or corporate segment activities.

Job Details

The Compliance Governance Analyst role reports to the Senior Manager responsible for RCM Control program oversight.

Job Description

Most RCM processes produce data on the adequacy of adherence to and effectiveness of the day-to-day controls which is used to determine whether the bank is in compliance with applicable regulatory requirements enterprise wide. Therefore as part of its mandate Compliance RCM controls team is responsible to support the data quality management by implementing and maintaining the governance oversight routines executing reporting and conducting data analysis against program metrics including trends forecasting and root cause analysis.

We are looking for a self-starter with a strong technical knowledge of data management and reporting with a strong understanding of the RCM framework. This includes coordinating intakes maintaining governance routines -include Quality Assurance

Specific accountabilities will include;

• Perform review of large data sets and leverage business intelligence tools to drive analysis and insight

• Strong analytical and problem-solving skills with strong attention to details to drive problem framing and solutioning

• Perform ongoing monitoring of the MERLIN Regulatory Control Inventory

• Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities to ensure that MERLIN Regulatory Control Inventory is accurate

• Perform oversight and reconciliation against regulatory control inventory for manual intake items

• Monitor and report on compliance with the RCM Regulatory Inventory and Control Standard

• Identify and propose improvements to the process opportunities to automate and streamline and participate in improvements implementation

• May entail opportunities to rotate onto other initiatives within Compliance Road to Strong function as business priorities and demands arise.

• Facilitate communication between Compliance and other business units to ensure alignment on compliance initiatives and objectives.

Job Qualifications

• Undergraduate degree required; a graduate degree is preferred.

• 7 years of diverse experience in combination of control program oversight requirement gathering role project execution and governance. Expertise with data quality initiatives preferred.

• Strong personal and professional integrity aligned with TDs vision and brand protection.

• Hands-on experience with ServiceNow or other industry-leading Governance Risk and Compliance (GRC) solutions

• Ability to analyze large volumes of information identify key clarifications and determine next steps.

• Proficiency in SQL Python or related query languages preferred

• Knowledge of reporting and BI platforms tools and techniques is a plus.

• Proven ability to identify and resolve performance and process bottlenecks.

• Strong track record in independently coordinating and completing complex enterprise projects. Ability to manage multiple priorities in evolving and ambiguous environments.

• Excellent coaching and advisory skills for clients partners and project teams.

• Exceptional organizational skills including tracking dependencies resolving outstanding issues and structuring meetings effectively.

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):