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Senior Analyst, Compliance Governance & Assurance

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TD Bank

Aug 1, 2024

  • Job
    Full-time
    Mid-level (3-4 years)
  • Toronto
  • Quick Apply

AI generated summary

  • You must have strong analytical skills, knowledge of compliance frameworks, experience in governance practices, and the ability to ensure regulatory adherence in financial services.
  • You will oversee compliance governance, ensure adherence to regulations, conduct risk assessments, and support assurance activities to uphold organizational standards.

Requirements

  • Experience in Compliance, Legal, Risk Management, Technology, or Internal Audit is preferred.
  • Excellent communication skills written and verbal 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.
  • Undergraduate or post graduate degree
  • A minimum of 4 years of relevant work experience (post-degree)

Responsibilities

  • 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 (eGRC) 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 the Data Quality Check process 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

FAQs

What is the work location for this position?

The work location for this position is Canada.

What are the working hours for the Senior Analyst role?

The working hours for this role are 37.5 hours per week.

Which department is this position associated with?

This position is associated with the Compliance department.

How does the company approach compensation for this role?

The company is committed to providing fair and equitable compensation. Candidates are encouraged to have an open dialogue with a member of the HR Team regarding compensation-related questions.

What is the primary focus of the Global Compliance Governance and Assurance (CGA) team?

The CGA team provides governance and oversight for central elements of the Global Compliance Program, including transformation and technology initiatives.

What are some key accountabilities for the Senior Analyst role?

Key accountabilities include supporting updates to the Enterprise Regulatory Compliance Issues Management Procedures, becoming a MERLIN subject matter expert, conducting quality assurance activities, supporting reporting to executives, and developing proactive strategies for regulatory compliance issues.

What qualifications are preferred for this position?

Experience in Compliance, Legal, Risk Management, Technology, or Internal Audit is preferred, alongside excellent communication skills and the ability to lead and manage tasks with minimal supervision.

Are there any specific knowledge areas that are considered a plus for this position?

Knowledge of the Issues Management module in MERLIN is considered a plus.

What educational background is required for the Senior Analyst role?

An undergraduate or postgraduate degree is required, along with a minimum of 4 years of relevant work experience post-degree.

How does TD support career development for its employees?

TD supports career development through regular leadership and development conversations, access to an online learning platform, mentoring programs, and opportunities to identify career paths that align with individual goals.

What kind of training and onboarding can a new hire expect?

New hires will receive training and onboarding sessions to ensure they have everything needed to succeed in their new role.

How does TD handle the interview process for this position?

TD will reach out to candidates of interest to schedule an interview, and they aim to communicate outcomes to all applicants by email or phone call.

Is there an accommodation process for candidates during the interview?

Yes, candidates are encouraged to inform the company if they need any accommodations during the interview process to help remove barriers to participation.

Is there a language requirement for this role?

No, there is no language requirement specified for this position.

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TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen