Centralized Governance & Control Specialist AML TestingQA Analyst (US)

Work Location:

Hours:

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.

Line of Business:

Job Description:

This role manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies / processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives. This position will be responsible for supporting the development and execution of the Centralized Governance & Controls (CG&C) AML testing and Quality Assurance (QA) program including AML/CTF Sanctions and Anti-Bribery coverage for first line owned functions. The individual in this role will be accountable for leading and conducting independent testing and quality assurance reviews to ensure operational risk and compliance requirements related to financial crimes are adhered to and supporting the results with robust workpaper documentation.

Depth & Scope:

• Highly seasoned professional role requiring substantialbusinessknowledge/expertisein a complex field and knowledge of broader related areas
• Integrates knowledge of the enterprise sub-functions or business lines overarching strategy in developing solutions across multiple functions or operations
• Ability to work collaboratively and build relationships across teams and functions
• Interprets internal/external business challenges and the industry environment recommends course of action and best practices to improve productsprocessesor services
• Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
• Leads cross-functional teams or projects with significant resource requirements risk and / or complexity
• Independently manages end-to-end functional programs
• Solves or may lead others to solve complex problems; leads efforts or partners with others to developnew solutions
• Works autonomously as the lead and guides others within area of expertise

Education & Experience:

• Undergraduate degreepreferred
• Advanced business understanding and knowledge of risk and control functions
• 7 years ofrelevant experience

Preferred Qualifications:

• Experienced in audit testing and/or QA/QC experience using standard risk testing or audit techniques (transactional testing control testing re-performance testing adherence testing and more)
• Prior experience in performing process deep-dives to assess the adequacy of risk mitigations for financial crimes risk in order to identify assurance testing needs
• Demonstrated experience in testing/auditing/QA of AML (CIP KYC etc.) Sanctions and/or Anti-Bribery Anti-Corruption
• Experience in communicating adverse testing/audit results and drafting issue writeups

Customer Accountabilities:

• Contributes to thestrategicdirection of thecentralizedgovernance andcontrol functionand play a key role in thedevelopment andimplementation of risk strategies insupport of the overall business strategy
• Develops and documents a comprehensive inventory of processes and controls with clearly defined owners and roles and responsibilities for each process and control
• Participates in theintake of applicable regulation assessment of impact to the business line and the comprehensive mapping of associated controls to rules and regulations
• Reviews end-to-end processes and controls andconnect the dots across issues and control deficiencies across various BUsin order toincrease standardization of solutionsprocessesand controls
• Leadsthe integratedexecutionof policies / procedures / changes across multiple functional areas
• Provides direction to complex wide rangingenterpriseor cross-function / businessprojectsas aSMEidentifyrisk / provide guidance for complexsituationsandparticipatein designing testing andimplementationof solutions
• Acts as lead for area of specialization withindustry enterpriseand business awareness; recognizing andanticipatingemerging trendsand;identifyingissues and opportunities and recommending action to senior management in the governance and control space

Shareholder Accountabilities:

• Ensures programs/policies/practices arewell managedmeetsbusiness needs / priorities andcomplieswithinternal /external requirements
• Exercises discretion in managing communication / correspondenceinformationandall matters of confidentiality
• Leadsresearch projects; supports the development/ delivery ofmaterials and presentationsto management or broader audience
• Conducts analysis at the functional or enterprise level using results to draw conclusions makes recommendations assesses the effectiveness of programspolicies orpractices
• Adheres to enterprise frameworks or methodologies that relate to activitiesacrossbusinesses and functions
• Manages relationships within and across various business lines corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
• Protects the interests of the organization identifiesand manages risks and escalates non-standardhigh-risktransactions / activities as necessary
• Maintains a culture of risk management and control supported by processes in alignment with risk appetite
• Is knowledgeable of andcomplies withBank Code of Conduct

Employee/Team Accountabilities:

• Participatesas a member of the teamsupportsa positive workenvironmentandensurestimelycommunication
• Provides leadership asa SMEandparticipatesin knowledge transfer within the team /business unit
• Keeps current on emerging trends/ developments and grow knowledge of the business relatedtoolsand techniques
• Keeps othersinformedabout the status/progress of projects
• Contributes to team development of skills and capabilities through mentorship of others by sharing knowledge and experiences andleveragingbest practices.
• Contributes to a fairpositiveandequitableenvironment
• Acts as a brand ambassador for your business area/function and the bank

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading writing and comprehending instructions Continuous
• Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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 base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. 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.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.