Senior Compliance Governance Operations Professional

5 days ago


Toronto, Ontario, Canada TD Bank Full time

About the Role

The Senior Compliance Governance & Operations Analyst will be part of the Global Compliance Governance and Assurance (CGA) team. The team provides governance and oversight for central elements of the Global Compliance Program, including transformation and technology initiatives.

The ideal candidate will report to the Manager, CGA, and ensure regulatory compliance issues are managed across the enterprise. Key accountabilities include:

  • Support updates to the Enterprise Regulatory Compliance Issues Management Procedures to ensure alignment with the Enterprise Issues Management Framework and Issues Management Standards.
  • Become a MERLIN subject matter expert to provide support/assistance to Compliance Units in navigating the Issues Management workflow.
  • Conduct quality assurance and quality control activities to maintain data accuracy and data completeness.
  • Support QAQC and Data Quality Check activities, reaching out to Compliance Units to ensure timeliness of updates and escalation.
  • Support the closure of findings against the Compliance Issues Management Program.
  • Develop and support reporting of Compliance owned Issues to executives, senior business management partners/teams.
  • Develop proactive strategies, processes, and recommendations to senior leaders to manage regulatory compliance issues.
  • Support Regulatory Compliance Management activities, specifically the Global Chief Compliance Officer Opinion including the integration of the regulatory library and control mapping to Issues.
  • Support ad hoc transformation changes and projects/tasks as required.

Requirements

  • Experience in Compliance, Legal, Risk Management, Technology, or Internal Audit is preferred.
  • Excellent written and verbal communication skills.
  • Self-starter, ability to lead, plan, execute, and deliver under minimal supervision.
  • Knowledge of the Issues Management module in MERLIN a plus.
  • Proven relationship management skills and must be a strong team player.
  • Flexibility to quickly adapt to changing and ambiguous initiatives or requirements.
  • Ability to exercise sound judgment in making decisions. Demonstrate analytical and problem-solving skills to think critically and make informed recommendations.
  • Must be highly organized and have excellent time management.
  • Creative in solutioning with a strong attention to detail.
  • Proficient in MS Office Applications.

About Us

We are TD Bank, one of the world's leading global financial institutions. We deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world.

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.



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