Compliance Business Oversight Analyst II (5535)

TD; Toronto; On-site; CAD 70,000 - 98,000; Full time

Job summary

TD in Toronto seeks a seasoned Compliance professional to lead policy development, risk assessments, and regulatory controls across the enterprise. You will support management reporting and collaborate with control functions to ensure effective risk management.

The role requires an undergraduate degree and 3+ years of relevant experience, with professional designations as applicable. TD emphasizes growth, fair compensation, and ongoing skills development within a dynamic financial services

Qualifications

• Undergraduate degree
• Relevant professional designations and/or certifications as required
• 3+ years relevant experience

Responsibilities

• Assist in the development and implementation of appropriate Compliance policies, processes and controls
• Facilitate Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework
• Monitor that assessments are completed and communicated in a 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 for risk measurement
• Collaborate on Compliance advisory activities and procedural support

Skills

Compliance guidance

Risk assessment

Regulatory knowledge

Analytical thinking

Education

Undergraduate degree

Professional designations/certifications

Job description

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$69,700 - $98,400 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:

KEY ACCOUNTABILITIES

CUSTOMER

• 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

SHAREHOLDER

• Contribute to various Compliance advisory activities (e.g. report production, process mapping, tracking, research, analysis and procedural support) as assigned
• Assist in evaluating methodologies for analyzing risk exposures. Analyzes risk exposure characteristics for assigned portfolio.
• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for Compliance
• Protect the interests of the organization – identify and manage risks, and elevate non-standard, high risk transactions / activities as necessary
• Assist the business lines with compliance/risk controls. Oversee TD maintains successful audits and exams within all areas
• Adhere to internal policies/procedures and applicable regulatory guidelines
• 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
• Support the team by continuously enhancing knowledge / expertise in own area 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 the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand champion for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Experienced working professional providing specialized Compliance guidance/ assistance, reporting and operational support to function/business supported as well as to the Compliance team
• Require advanced understanding of a range of product and services, processes, procedures, systems and concepts within their own area of specialty and integration points with related areas
• Manage ambiguity, and apply judgement to identify, troubleshoot and resolve ongoing business and operational issues
• Contact for business management, external/internal auditors, dealing with non-routine information
• Provide day to day interaction and support to their manager
• Identify and lead problem resolution
• Generally reports to a Manager/Senior Manager Compliance

EXPERIENCE & EDUCATION

• Undergraduate degree
• Relevant professional designations and/or certifications as required
• 3+ years relevant 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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We’re committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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.

Language Requirement (Quebec only):

Sans Objet