Senior Analyst, TDS Governance and Control

Senior Analyst, TDS Governance and Control page is loaded Senior Analyst, TDS Governance and Control Apply remote type Hybrid locations TD Centre - TD Tower - 66 Wellington Street West time type Full time posted on Posted 3 Days Ago job requisition id R_1348632

Work Location:

Hours:

Line of Business:

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

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally 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.

The team is responsible for ensuring timely and consistent implementation – across all TDS businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement TDS G&C methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C, is to ensure internal control testing is effectively and efficiently conducted based on the requirements of the 2nd line functions (e.g., Compliance, Risk, AML, etc.).

As part of the key accountabilities of the role, the Senior Analyst will:

• Lead and assist in the development of Design and Operating effectiveness of Testing programs that will effectively and efficiently detect gaps in internal processes/controls. Understand and apply sampling methodology in accordance with TD sampling guidelines.

• Conduct ongoing testing of key controls/requirements for all TDS Businesses. Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution.

• Lead and assist with assessing Key Risk Indicators to identify opportunities to enhance the program.

• Lead and assist TDS Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.

• Lead the identification of opportunities to improve processes, identifying and realizing efficiencies in testing (where possible) and delivering a better testing experience to TDS Businesses.

• Work with business stakeholders to develop or enhance key controls and remediate documentation/process gaps to reduce risks with 2nd line function support.

• Assist with ad-hoc initiatives and strategies from a risk and control perspective.

• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.

Job Requirements

Skills

• Advance knowledge of governance, risk and control procedures, strategies & tactics

• Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology

• Knowledge of current and emerging trends

• Skill in using analytical software tools, data analysis methods and reporting techniques is an asset

• Skill in using computer applications, including MS Excel, PowerPoint, Visio, and Word

• Ability to communicate effectively in both oral and written form

• Ability to work collaboratively and build relationships

• Ability to work successfully as a member of a team and independently

• Ability to exercise sound judgement in making decisions

• Ability to analyze, research, organize and prioritize work while meeting multiple deadlines

• Ability to process and handle confidential information with discretion

• Understanding of TDS business operations and processes is an asset

Education & Experience

• University education

• 4 years of relevant experience (Risk, Audit, Compliance preferred)

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
 
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:

Our Values
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific