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Senior GAML Testing Analyst

4 months ago

Toronto, Ontario, Canada TD Bank Full time

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Enterprise Enabling Functions

Pay Details:

We're 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:

Department Overview / Job Details

The TD Global Anti-money Laundering (GAML) Testing team conducts design and operating effectiveness testing of AML/ATF controls within TD Business Lines and relevant operational and control units. Specifically, the GAML Technology Testing team focuses on the systems supporting the operations including systems to support transaction monitoring, screening, reporting and customer risk rating.

The Senior GAML Testing Analyst (Technology Testing) executes independent testing on technologies owned or managed by the GAML team with respect to key risk-based controls/regulatory compliance for assigned businesses and/or operational units across the Bank, along with providing expertise on testing methodology, processes, reporting and monitoring functions. The position will assume leadership of the engagement and have responsibility for completion of end-to-end testing phases.

The position will develop test plans, procedures, and attributes, and monitor progress of the engagement. As the overall engagement lead, the position will also oversee and review work of supporting analysts.

Key accountabilities include the following:

  • Oversee and/or independently perform testing of AML/ATF controls for the technologies which are used by the Global AML FIU, High Risk Investigations, Sanctions Operations, and ABAC teams.
  • Lead the communication and the reporting process with the multiple stakeholders, including senior management.
  • Lead a team of Supporting Analysts throughout all phases of a testing engagement, including planning, fieldwork, and reporting.
  • Work independently as a subject matter expert of the functional area and applicable regulatory requirements (i.e., PCMLTFA and associated regulations), and may coach and educate others.
  • Act as a specialized resource to provide subject matter expertise for planning, risk assessment and execution of testing and monitoring activities and related AML technology processes with a high degree of complexity.
  • Research and evaluate methodologies for analyzing risk exposures for assigned engagements.
  • Recommend enhancements to policy/guidelines resulting from observations made during testing activities.
  • Interact frequently with management and senior leadership of GAML lines of businesses and technology stakeholders.
  • Maintain a culture of risk management and control, supporting by effective processes in alignment with risk appetite.
  • Prepare and present complex reporting, analysis and assessments that will bring about significant improvements to internal processes and activities
  • Undertake and complete a variety of projects and initiatives; may include the integration of cross functional processes within own area of expertise.
  • Keep current on emerging trends and evolving regulatory requirements to find opportunities, and recommend improvement areas to senior management to increase the efficiency and effectiveness of the team
  • Reports to a Manager role.

Job Requirements

  • Undergraduate degree with 4+ years of IT Auditing, IT Controls Assessment, SOX Testing Execution experience.
  • Experience in AML/ATF and/or similar regulatory requirements (i.e., PCMLTFA and associated regulations).
  • CISA / CISSP certification considered a strong asset.
  • CAMS designation preferred.
  • Proficient knowledge of testing standards, systems, procedures, laws, rules, regulations, reporting and controls.
  • Knowledge of IT controls frameworks (such as ITIL / COBiT) and related IT and business processes and operations
  • Strong interpersonal skills to facilitate working with business unit, GAML advisory, senior management, and business partners at all levels.
  • Knowledge of risk management environment, standards, and regulations.
  • Knowledge of current and emerging AML/ATF trends.
  • Skill in providing guidance to junior analysts.
  • Skill in creating appropriate analysis and reporting.
  • Ability to communicate effectively in both oral and written form.

Customer Accountabilities

  • Executes testing engagement work in accordance with established standards to achieve completion within target timelines.
  • Conducts skilled analytical research and analysis as part of the testing engagement and initiatives.
  • Works collaboratively with key partners throughout the testing engagement.
  • Presents objective and independent advice & recommendations to control partners on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements.
  • Executes follow-up of findings raised from testing engagements in accordance with established standards.
  • Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization.
  • Proactively identifies matters which require additional attention, further escalation, or review, and liaise with the appropriate groups to resolve.
  • As assigned, oversees/leads the testing engagement, including communications and the reporting processes.

Shareholder Accountabilities

  • Prioritizes and manages own workload to deliver quality results and meet assigned timelines.
  • Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.
  • Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve controls.
  • Understands the operations of the business unit/area being tested and to identify potential risks and apply information to complete a quality, risk-based engagement.
  • Clearly and concisely documents research as required to understand requirements specific to an engagement.
  • Working with control partners, keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards.
  • Actively manages relationships within and across various business lines, corporate and/or control functions, and ensures alignment with enterprise and/or regulatory requirements.
  • Provides analysis on issues and effectively communicates results to Testing management and the client.
  • Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite.

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 promotes timely communication of issues/ points of interest.
  • Provides thought leadership and/ or industry knowledge for own area of expertise in own area and participates 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 team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
  • Leads, motivates, and develops relationships with internal and external business partners / stakeholders to develop productive working relationships.
  • 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.

Who We Are:

TD is one of the world's 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 95,000 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 you've 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, we're 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:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll 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 we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll 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 you'd 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:

N/A.