Analyst Iii, Wealth Governance

1 week ago

Toronto, Ontario, Canada TD Bank Full time

TD Description
Stay current and competitive. Carve out a career for yourself. Grow with us.

Department Overview
TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow and successfully transition their wealth.

There are five unique lines of business:

  • Advice: Our fastest growing division which includes financial planning, fullservice brokerage and private client groups.
  • Direct Investing: Canada's largest direct investing brokerage, provides a full set of offerings to retail clients in Canada
  • TD Asset Management
    (TDAM
    ): A leading North American investment management company comprising of both retail and institutional clients
  • US Wealth: Leverages the branches in TD's US retail arm to offer suite of products and services to American customers
  • Wealth Shared Services: National backoffice support function serving all marketfacing businesses across strategic editorial content, business management, business architecture, wealth product, analytics and reporting, and operations. Within Wealth Shared Services, the Governance & Controls function is a national team, advising and supporting the management of the overall risk, control and governance portfolio for TD Wealth.


TD Wealth Shared Services Governance & Control (G&C) team partners with the Wealth businesses to design, implement, maintain and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

We operate in a hybrid model, meaning in the office about half of the time and have flexibility to work remotely (if you choose) for the other part of the week

  • Reporting to the Manager, Governance & Control, this position will be primarily responsible for supporting all TD Wealth Canada businesses in adherence to TD enterprise and regulatory requirements, managing risk and having effective operational controls in place. The position is expected to support and work with all TD Wealth Canada businesses and Wealth Control Partners to ensure appropriate policies, procedures and controls are in place and appropriately governed.
  • As part of the key accountabilities of the role, the Senior Analyst will:
  • Execute Wealth's process, risk and control self-assessments for core processes, related quality control testing, and testing other key controls, including General ledger reconciliations, regulatory compliance and anti-money laundering (AML), as required. This includes identifying and socializing internal control gaps and recommending opportunities to automate or enhance business controls.
  • Establish strong relationships and maintain an efficient interaction model with business partners, other G&C teams, and Control Partners such as Compliance, Risk Management, Global AML, and Internal Audit.
  • Support the ongoing operating effectiveness assessment of Wealth's key process controls, including assessing ability to leverage automated monitoring or other forms of oversight to reduce duplication of testing.
  • Support the annual Global AML risk assessment process.
  • Promote positive working relationships by regularly sharing experiences, learnings and knowledge with the team

Job Requirements

  • University or Post-Graduate degree
  • Minimum 4 years Risk, Audit, and/or Compliance experience (financial services industry preferred)
  • Professional accounting/auditing/risk management designation would be considered an asset
  • Knowledge of wealth management businesses preferred
  • Experience using MS Excel, Visio, Word, and Powerpoint.
  • Strong interpersonal and relationship management skills.
  • Effective time management, multitasking and organizational skills to meet tight timeframes as well as flexibility to adapt to changing priorities.
  • Deliverablefocused.
  • Welldeveloped written and verbal communication skills.
  • Ability to take initiative and work independently and in a team environment.
  • Confident presentation and facilitation skills.

Inclusiveness


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported.

We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve.

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.


Job Family

  • TD Governance & Control

Job Category - Primary

  • Corporate Development / Strategy / Design

Job Category(s)

  • Anti-Money Laundering / Compliance & Regulatory Relations

Hours

  • 37.5

Business Line

  • TD Wealth

Time Type

  • Full Time

Employment Type

  • Regular

Country

  • Canada

Province/State (Primary)

  • Ontario
**City (Pri

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