Compliance Business Oversight Analyst II (4186, 4187)

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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:

Job Description

Reporting to the Compliance Business Oversight Manager Compliance Oversight of Models Office (COMO) the Compliance Business Oversight Analyst II will be responsible for:

• Providing independent challenge to first-line business risk owners by conducting independent monitoring activities specifically as it relates to model compliance risk

• Executing monitoring work in accordance with established standards to achieve completion within target timelines

• Working collaboratively with key partners throughout the monitoring oversight engagement

• Clearly communicating monitoring oversight engagement status updates to the Manager on a regular basis

• Presenting objective and independent opinion on the adequacy of model compliance risk governance in the businesses

• Drafting formal monitoring oversight reports to first-line business risk owners and clearly communicating all noted issues exceptions and opportunities for process improvements

• Following up on issues raised from monitoring oversight engagements in accordance with established standards

• Proactively identifying matters which require additional attention further escalation or review and liaise with the appropriate groups to resolve

• Ensuring that all work is adequately documented and supported by appropriate documentary evidence (e.g. workpapers test scripts)

• Prioritizing and managing own workload to deliver quality results and meet assigned timelines

• Staying abreast of emerging trends/developments and changes to model compliance risks regulatory framework internal policies and standards

• Overall success is measured by timely completion of monitoring oversight engagements the quality of the work performed and the identification of gaps within the first-line model compliance risk governance

Qualifications

Education & Experience

• Minimum 5 years of testing/monitoring compliance risk management governance and control or audit experience within a regulated financial services

• Proficient knowledge of compliance testing/monitoring standards systems procedures laws rules regulations reporting and controls

• Ability to understand law and regulations as they apply to the financial services sector including Banking Corporate Office Areas and Insurance

• Experience in using analytical software tools data analysis methods and reporting techniques to collect organize analyze and interpret complex or technical data is an asset

• Ability to work independently think critically and make decisions

• Consistently delivers high-quality and timely work with attention to detail and a strong sense of ownership and accountability

• Organizational awareness and demonstrated relationship building skills with a superior ability to make things happen through the use of positive influence

• Strong organization skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities

• Skillful communication (written and verbal) negotiation and conflict management skills

• Excellent analytical skills with the ability to synthesize information into key messages for executive reporting and communications.

• High sense of ownership adaptability flexibility and comfortable with ambiguity

• Professional demeanor excellent interpersonal skills capable of working with all levels of internal staff and collaborating across large organizations

• Ability to work in a diverse and inclusive workspace

• Ability to work in a team dynamic

• Proficient in Word Excel PowerPoint Outlook Teams Microsoft Office Suite Visio and Power BI

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):