Senior Analyst, Regulatory Compliance Risk Assessment Data and Reporting (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:

Why Work with Us

At TD Bank US Compliance were on a mission to build a more resilient and scalable compliance risk management function. As part of our team youll play a key role in reshaping compliance structures and processes driving innovation at every level. Here each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This is not just about implementing a new program its about creating a culture of compliance that will cascade throughout the organization.

Reporting to the Manager or Senior Manager Compliance Risk Assessments the Senior Compliance Analyst supports the execution of the enterprise Regulatory Compliance Risk Assessment (RCRA) through data management analysis quality control dashboarding and management reporting. The role transforms assessment data into timely accurate and actionable insights that support program oversight stakeholder decision-making and senior management reporting.

Key Responsibilities:

• Support ad hoc data analysis transformation initiatives regulatory requests audit or quality assurance reviews and other program priorities as required.
• Identify opportunities to automate manual reporting strengthen data controls simplify processes and improve the usability and timeliness of RCRA insights.
• Support assessment-cycle activities including stakeholder communications data preparation progress monitoring issue escalation and preparation of materials for review and challenge sessions.
• Partner with Compliance Program Management Compliance Data Enablement and Transformation Business Application Support Risk Owners and Oversight Functions to clarify data requirements and improve reporting outcomes.
• Support metric governance by maintaining metric inventories calculation logic thresholds reporting requirements and evidence supporting the validity and verifiability of reported information.
• Maintain clear documentation of data sources definitions calculations assumptions transformations controls and report production steps to support accuracy repeatability and end-to-end traceability.
• Prepare recurring and ad hoc management reporting including concise commentary supporting analysis and presentation materials for Compliance leadership and other senior audiences.
• Analyze RCRA results to identify trends concentrations outliers and emerging themes across business units segments Laws Rules and Regulations and Enterprise Risk Framework taxonomy levels.
• Perform data validation reconciliation and quality control activities to identify incomplete inconsistent duplicate or anomalous assessment data and coordinate timely resolution with data owners and stakeholders.
• Develop and maintain RCRA execution trackers dashboards data visualizations and status reporting to monitor progress completion quality and key program indicators.
• Support the collection extraction consolidation and maintenance of RCRA and Program Effectiveness Assessment data from approved source systems templates and stakeholder submissions.

***The above details are specific to the role which is outlined in the general description below. Please review the Preferred skills below as you consider this opportunity.

The Senior Compliance Governance & Operations Analyst provides a range of research analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.

Depth & Scope:

• Expected to exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory risk matters.
• Empowered to make prudent professional decisions in rendering advice and counsel to business lines or assigned areas on compliance matters and regulatory risks which may impact performance of the business and overall enterprise strategies and objectives.
• Provides responses to regulatory agencies and Internal Audit. Interacts directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities based on professional judgment regarding responsiveness and appropriateness.
• Acts as the primary subject matter expert for certain Compliance Program elements and is expected to make decisions regarding compliance with these Program requirements and to escalate instances of non-compliance.
• Works independently as the senior analyst/subject matter expert and may coach and educate others
• Oversees and/or independently performs tasks from end to end
• Applies expert knowledge of business operations products services methods and operating standards to drive unit or team performance and provides training to other team members based on expert knowledge
• Executes on more complex and/or non-standard requests
• Researches and investigates a range of operational/reporting/process issues and provides recommendations to senior management across the enterprise (including Global partners)
• Recommends and implements solutions within own area of responsibility that impact the strategies and objectives of the Department
• Coordinates/integrates work with other areas as needed
• Provides advanced analysis and/or specialized reporting to support business partners functional areas or centers of expertise
• Requires advanced technical/business/function knowledge for discipline supported
• High level of complexity in operational/reporting/process and/or analysis function requiring medium to longer term focus
• Represents the group as the lead or subject matter expert on projects/initiatives and/or at meetings across the organization

Education & Experience:

• Undergraduate degree or equivalent work experience
• 5 years of experience

Preferred Skills:

• Undergraduate degree required; relevant professional designation data analytics training or reporting certification is an asset.
• Must have 5 years of relevant experience in Compliance Risk Management Data Analytics Business Intelligence Reporting Internal Audit or a related discipline.
• Self-starter who can independently execute assigned work exercise sound judgment escalate issues appropriately and contribute to small projects or process-improvement initiatives.
• Proven relationship management and collaboration skills with the ability to work effectively across Compliance Risk Technology Data and business teams.
• Strong organizational and time-management skills with the ability to manage recurring reporting cycles ad hoc requests and multiple deadlines in a changing environment.
• Excellent written and verbal communication skills with the ability to explain analytical findings and reporting requirements clearly to technical and non-technical stakeholders.
• Strong critical thinking and problem-solving skills including the ability to identify trends outliers dependencies and emerging risk themes.
• Strong attention to detail and commitment to data accuracy completeness consistency timeliness and traceability.
• Ability to perform data quality reviews investigate discrepancies identify root causes document findings and coordinate corrective action with stakeholders.
• Advanced proficiency in Microsoft Excel and PowerPoint; experience with Power BI data visualization tools GRC platforms databases or reporting automation is preferred.
• Experience developing management reports dashboards metrics data visualizations and concise written insights for business and senior management audiences.
• Strong data analysis and reporting skills with the ability to organize reconcile interpret and summarize complex information from multiple sources.
• Working knowledge of regulatory compliance risk management principles and risk assessment concepts including inherent risk control effectiveness residual risk and supporting rationale.

Customer Accountabilities:

• Provides Compliance research evaluation operational reporting and/or analytical support in oversight and control function to internal (Compliance) partners in a timely manner
• Coordinates requests to and from business (Compliance) partners and coordinates tracking and reporting of Compliance function initiatives and programs
• Prepares and delivers summaries communications reports and presentations for management regulators and other internal and external stakeholders
• Recommends responses to enterprise Compliance Program questions and immediately escalates any sensitive issues according to departmental procedures
• Analyzes data and draw conclusions to meet program health reporting requirements
• Analyzes emerging trends pertaining to regulatory changes reporting or other departmental functions and provides recommendations to enhance or rectify Compliance - related gaps issues and enhancements
• Proactively identifies matters requiring additional review escalation and liaises with appropriate staff to resolve as appropriate

Shareholder Accountabilities:

• Contributes to various activities and processes as assigned
• Adheres to enterprise frameworks or methodologies that relate to activities for own business area
• Consistently exercises discretion in managing correspondence information and all matters of confidentiality; escalates issues where appropriate
• Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area
• Protects the interests of the organization identifies and manages risks and escalates non-standard high risk activities as necessary
• Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
• Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions makes recommendations assesses the effectiveness of programs/policies/practices
• Monitors service productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
• Acquires and applies expertise in the discipline provides guidance assistance and direction to others
• Identifies recommends and effectively executes standard practices applicable to the discipline
• Adheres to internal policies/procedures and applicable regulatory guidelines
• Keeps abreast of emerging issues trends and evolving regulatory requirements and assesses potential impacts
• Maintains a culture of risk management and control supported by effective processes in alignment with risk appetite
• May lead work streams by acting as a project lead/subject matter expert for small scale projects/initiatives in accordance with project management methodologies

Employee/Team Accountabilities:

• Participates fully as a member of the team supports a positive work environment that promotes service to the business quality innovation and teamwork and ensures timely communication of issues/ points of interest
• Supports the team by continuously enhancing knowledge/expertise in own area and participate in knowledge transfer within the team and business unit
• Keeps current on emerging trends/ developments and grows knowledge of the business related tools and techniques
• Participates in personal performance management and development activities including cross training within own team
• Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
• Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training coaching and/or guidance as appropriate
• Contributes to a fair positive and equitable environment that supports a diverse workforce
• Acts as a brand ambassador for your business area/function and the bank both internally and/or externally

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 pur

poses.

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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 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.