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Senior Compliance Business Oversight Analyst

2 months ago

Guelph, Ontario, Canada TD Bank Full time
Job Title: Senior Compliance Business Oversight Analyst

TD Bank is seeking a highly skilled Senior Compliance Business Oversight Analyst to join our team. As a key member of our Compliance department, you will be responsible for providing objective guidance, support, and advice to our Canadian Banking lines of business to promote strong Compliance controls and ensure processes are in effect to mitigate inherent associated risks.

Key Responsibilities:
  • Responsible for the complaint handling process from an investigation, oversight, and reporting perspective for the Canadian Banking lines of business as prescribed under Bank Act and FCAC Guidelines.
  • Assist in the development and implementation of appropriate Compliance policies, processes, and controls.
  • Facilitate the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework.
  • Monitor that assessments (monitoring, risk assessment, etc.) are completed and communicated in a continuous and timely fashion.
  • Guide and complement the assigned portfolio in terms of financial, regulatory, and risk management requirements.
  • Interact with control functions within the organization.
  • Develop analysis and insights, prepare and deliver management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products.
  • Update business line policies and Compliance team procedures.
  • Analyze Compliance requirements and establish they are properly written into requirements for business projects and approved at the appropriate levels.
  • Work with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits, and/or examinations.
  • Keep abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assess potential impacts.
  • Coordinate with other Compliance partners, business governance, and control partners to promote consistency in the application of Compliance programs and standards across the enterprise.
  • Support in determining risk exposure, mitigation, and controls for new products, marketing campaigns, and expansion of existing programs.
  • Protect the interests of the organization - identify and manage risks, and promote the prompt and thorough resolution of escalated non-standard, high-risk issues.
  • Provide thought leadership and/or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business.
  • Keep current on emerging trends/developments and grow knowledge of the business, related tools, and techniques.
  • Participate in personal performance management and development activities, including cross-training within own team.
  • Keep 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.
  • Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences, and leveraging best practices.
  • Lead, motivate, and develop relationships with internal and external business partners/stakeholders to develop productive working relationships.
  • Expert-level professional role requiring in-depth knowledge/expertise in Compliance and working knowledge of broader related areas.
  • Provide advanced analysis and/or specialized reporting to support business partners, functional areas, or centres of expertise.
  • Integrate the broader organizational context into advice and solutions within the Compliance area.
  • Lead projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs.
  • Contact for business management, external/internal auditors, dealing with non-routine information.
Requirements:
  • 5+ years relevant experience.
  • Proficient knowledge of a variety of products and services, systems, and compliance advisory standards, procedures, laws, rules, regulations, and controls.
  • Knowledge of risk management environment, standards, and regulations.
  • Knowledge of current and emerging trends.
  • Skill in using advanced analytical software tools, data analysis methods, and specialized reporting techniques.
  • 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 judgment in making decisions.
  • Ability to analyze, organize, and prioritize work while meeting multiple deadlines.
  • Ability to handle confidential information with discretion.
About TD Bank:

TD Bank 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 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.

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.

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.