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Senior Compliance Business Oversight Analyst

2 months ago

Old Toronto, Ontario, Canada TD Full time
Job Title: Senior Compliance Business Oversight Analyst

TD Bank Group is seeking a highly skilled Senior Compliance Business Oversight Analyst to join our Canadian Banking Compliance team. As a key member of our team, you will play a critical role in overseeing Regulatory Compliance in accordance with the Enterprise Regulatory Compliance Management Framework.

Key Responsibilities:
  • Coordinate and lead the annual Monitoring and Testing (M&T) planning process and monitor its ongoing progress.
  • Develop and execute M&T activities in accordance with established Standards and Procedures to achieve completion within target timelines.
  • Conduct skilled analytical research and analysis as part of M&T engagements.
  • Work collaboratively with key partners throughout M&T engagements.
  • Present objective and independent opinion on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements.
  • Proactively identify matters which require additional attention, further escalation, or review, and liaise with the appropriate groups to resolve.
  • Provide objective review and challenge to businesses on compliance issues, with a specific focus on validating that corrective measures to remediate issues have been appropriately executed.
  • Oversee and monitor the department's issue validation schedule, in coordination with internal Compliance teams and Risk Owner Governance and Control areas, to meet established timelines.
  • Assist in the development and implementation of appropriate Compliance policies, processes and controls for continued alignment to the ERCMF, and associated Standards and Procedures.
  • Work with Compliance and business management and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations.
  • Develop analysis and insights for reporting identified or emerging risks to senior management within Compliance, the business, applicable Boards, and regulators as required.
  • Assist to develop and/or present focused RCM training internally within the team and/or to Risk Owners.
Requirements:
  • Undergraduate degree or equivalent work experience (5+ years).
  • Experience in Internal Audit, Compliance or AML.
  • Experience conducting Monitoring and/or Testing preferred.
  • Knowledge of Canadian Banking products, policies & processes is preferred.
About TD Bank Group:

TD Bank Group is one of the largest banks in North America, with a long history of innovation and customer service. We are committed to building a diverse and inclusive workplace that reflects the communities we serve.

We offer a competitive compensation package, comprehensive benefits, and opportunities for professional growth and development.

Join our team and be part of a dynamic and collaborative environment that values innovation, teamwork, and customer satisfaction.