Analyst – Wealth Governance and Control Testing

1 month ago

Old Toronto, Canada TD Bank Full time

Work Location: Canada

Hours: 37.5

Line of Business: Governance & Control

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:

The Wealth Shared Services Business Governance & Control (WSS G&C) team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation – across all Wealth businesses – of all risk, control and governance programs, initiatives, policies, and standards.

Reporting to the Manager, the Analyst will be part of the G&C Wealth Branch Oversight and Controls Testing team. The role's mandate is to execute on the internal control testing plan and execution is effectively conducted based on the requirements of the 1st and 2nd line functions (e.g., Compliance, Operational Risk Management, AML, etc.).

Primary Responsibilities:

  • 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 TD Wealth Businesses across all Testing Programs, e.g., Anti-Money Laundering (AML), Regulatory and Compliance (RCM) control testing, pRCSA Refresh and Quality Control Testing, other projects, and engagements. Prepare documentation of testing results, as required by internal operating procedures. Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution.
  • Conduct the following activities as it relates to AML New Accounts and AML Dual Process - sample selection, testing, writing findings and drafting reports.
  • Maintain Consolidated Depository and produce slide analytics on consolidated control data.
  • Maintain Merlin to ensure control information is accurate, complete, and current.
  • Assist TD Wealth Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.
  • Assist in the identification of opportunities to improve processes, identifying and realizing efficiencies in testing (where possible) and delivering a better testing experience to Wealth Businesses.
  • Assist with performing Annual Risk Assessments of processes based on inherent impact and likelihood.
  • Work with business stakeholders to develop or enhance key controls and remediate documentation/process gaps to reduce risks, and Control Partners Engagement support.
  • Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.
  • Perform other administrative duties as requested by management.

Education & Experience

  • Undergraduate degree preferred.
  • Broad knowledge of business and risk and control environment.
  • 4+ years of relevant experience.

Skills

  • Solid knowledge of governance, risk and control procedures, strategies & tactics.
  • Knowledge of current and emerging trends.
  • Skill in using analytical software tools, data analysis methods and reporting techniques.
  • 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.
  • Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology is an asset.
  • Understanding of TD Wealth business operations and processes is an asset.

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.

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.

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.

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.

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