Senior Compliance Business Oversight Analyst

Work Location:

Hours:

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Pay Details:

Were committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.

Job Description:

The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors Audit and Risk Committees. It is the Compliance Departments responsibility as proactive and trusted advisors to Businesses to drive a consistent adaptable and effective culture across the organization so that compliance risks are appropriately mitigated. Compliance Department responsibilities generally are to advise monitor and escalate.

The Compliance Officer is an integral part of the TDS UK Compliance department and will lead and support Core compliance tasks including but not limited to:

• Own and lead the Compliance reporting process which includes compiling information from multiple sources and formatting for each unique reporting to local and global governance committees and boards.
• Manage certain FCA communications including submissions and updating the FCA Connect list.
• Preparing and submitting via coordination with multiple stakeholders multiple regulatory reporting and notification to various EU and North American regulators.
• Manage / administer the Compliance induction training across the London office.
• Reviewing and updating the Compliance induction training deck at least annually.
• Participate in developing training material for topics on the annual training plan.
• Act as back-up for core monitoring activities including e-communication and voice.
• Manage the Personal Account Dealing inquiries and liaising with the Control Room.
• Participating in policy and procedures review and updates.
• Maintenance of relevant logs and registers including but not limited to the Breach and Conflict of Interest registers.
• Track audit and compliance findings for tracking and reporting purposes
• Assist as needed on global compliance projects.
• Interact with the front office and support stakeholders and be the point person for multiple core areas.
• Build relationships with key stakeholders locally and globally.
• Assist the team with other tasks as needed.

• Minimum of 3-5 years of demonstrated relevant experience in the industry. Knowledge of regulations and industry best practices.
• Ability to conduct regulatory research.
• Regulatory experience a plus.

• Understanding of internal controls framework.
• Understanding of regulatory rules.
• Problem solving skills and the ability to work independently.
• Strong oral and written communication skills.
• Ability to build and maintain professional relationships with internal and external parties.

• Audit or Controls experience a plus

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 investment we make in our colleagues to help them and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits including medical coverage paid time off career development and reward and recognition programs.

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.

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

If you require an accommodation for the recruitment / interview process (including alternate formats of materials or accessible meeting rooms or other accommodation) please let us know and we will work with you to meet your needs.