Senior Compliance Quality Assurance Analyst

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$76,800 - $115,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Job Description

As a key member of the Global Compliance Quality Assurance (GCQAR) team, execute independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes.

May assume leadership of a part of the engagement and have responsibility for completion of a phase.

KEY ACCOUNTABILITIES

CUSTOMER

• Execute testing engagement work in accordance with established standards to achieve completion within target timelines
• Conduct skilled analytical research and analysis as part of the testing engagement and initiatives
• Work collaboratively with key partners throughout the testing engagement
• Present objective and independent opinion on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements
• Execute follow-up of findings raised from testing engagements in accordance with established standards
• Provide subject matter expertise and/or input to projects/initiatives as a representative for area of specialization
• Proactively identify matters which require additional attention, further escalation, or review, and liaise with the appropriate groups to resolve

SHAREHOLDER

• Prioritize and manage own workload to deliver quality results and meet assigned timelines
• Contribute to the analysis, due diligence, and implementation of initiatives within defined area of responsibility
• Adhere to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve Compliance controls
• Understand the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk-based engagement
• Clearly and concisely document research as required to understand requirements specific to an engagement
• Keep abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards
• Actively manage relationships within and across various business lines, corporate and/or control functions, and ensure alignment with enterprise and/or regulatory requirements
• Provide analysis on issues and effectively communicate results to Compliance Testing management and the client
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

EMPLOYEE / TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and promote timely communication of issues/ points of interest
• Provide thought leadership and/ or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit
• 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
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Work independently as an subject matter expert of the functional area and/or business are supported and applicable regulatory requirements, and may coach and educate others
• Oversee and/or independently perform work from end to end
• Execute on more complex and/or non-standard requests
• Undertake and complete a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise
• Performs complex analysis and reporting
• Generally reports to a Manager role

EXPERIENCE & EDUCATION

• Undergraduate degree or equivalent work experience
• Knowledge of Information Technology General Controls (ITGC) and COBIT framework for IT controls is a nice to have but not a must have
• 5+ years of experience

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.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing – and so will you.

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 (Quebec only):

Sans Objet