Senior Compliance Testing Analyst

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Pay Details:

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 Summary

Reporting to a Manager or Senior Manager within Compliance Testing the Senior Compliance Testing Analyst executes highquality governance and oversight for central elements of the Regulatory Compliance Management (RCM) Monitoring and Testing (M&T) program in alignment with methodologies regulatory expectations and internal standards. Responsibilities include executing Quality Control Reviews within required timelines developing and facilitating training on RCM M&T standards and guidelines completing followups providing subject matter expertise escalating issues appropriately collaborating with partners identifying process improvements and maintaining strong documentation practices.

Key Responsibilities

Monitoring & Testing Execution:

• Execute Quality Control Reviews in accordance with established standards to achieve completion within target timelines
• Assist in the development of RCM Monitoring and Testing standards guidelines and processes related to RCM M&T
• Develop and facilitate training related to RCM M&T standards guidelines and processes
• Present objective and independent opinion on the adequacy of RCM M&T coverage in accordance with regulatory and internal requirements
• Develop senior management reporting for RCM M&T coverage
• Coordinate audit and regulatory requests
• Assist in special projects/tasks as required

Stakeholder Engagement & Reporting

• Build effective relationships across oversight functions and risk owners
• Provide clear concise analysis and communicate results to management and stakeholders.
• Contribute to seniorlevel reporting through highquality documentation

Process Improvement & Collaboration:

• Support continuous improvement initiatives and share best practices.
• Contribute to knowledge transfer and team capabilitybuilding.
• Stay current on regulatory changes industry trends and internal policy updates.
• Promote a positive collaborative work environment.

Job Requirements

• 35 years of Internal Audit experience preferably with exposure to design and operating effectiveness testing of controls.
• Professional credentials such as CPA or CA; experience from external audit firms considered an asset.
• Hands-on end-to-end testing experience including documenting results issuing findings and supporting review/oversight with strong quality-of-work standards.
• Ability to lead Quality Control Reviews raise findings obtain materials efficiently and prepare clear Quality Control Review reports.
• Ability to read and interpret regulations as well as understand how the regulations may impact RCM M&T standards guidelines and processes.
• Exceptional communication skills (both written and verbal) with the ability to draft high quality analyses
• Strong attention to detail
• Strong organizational skills with the ability to work in a fast-paced environment and manage multiple deadlines and priorities

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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):