Senior Analyst, Governance and Control

TD Bank Group; Toronto; On-site; CAD 82,000 - 115,000; Full time

Job summary

TD Bank Group is seeking a Senior Analyst in the Governance & Control team to support FI/ABAC risk assessments and control testing. You will contribute to data gathering, documentation, and remediation efforts across TD Securities’ global activities.

The role emphasizes collaboration with risk partners, timely testing, and clear communication, with opportunities for growth within TD’s risk governance framework.

Qualifications

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
• Minimum 2 years of AML, Risk, and/or Audit experience (financial services industry preferred).
• Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology.
• Strong interpersonal and relationship management skills.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• Ability to take initiative and work independently and in a team environment.

Responsibilities

• Support the execution of AML and ABAC risk assessments, including provision of data and documentation.
• Execute testing of key controls within established deadlines using TD testing methodology.
• Ensure exceptions are analyzed, reported, and tracked to resolution.
• Assist with action/remediation plans to address control gaps and root cause themes.
• Build and maintain relationships with risk partners and stakeholders to meet requirements.
• Identify and escalate key FCRM and fraud issues to the Manager as needed.
• Assist with governance, risk management and control projects within deadlines.
• Support G&C executive reporting on overall program status.
• Share information and updates with the team to promote collaboration.

Skills

Interpersonal skills

Relationship management

Time management

Organizational skills

Written communication

Verbal communication

Initiative

Teamwork

Adaptability

Education

University or Post-Graduate degree

Risk/compliance/auditing designation (asset)

Tools

TD Bank testing methodology

Job description

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Governance & Control

Pay Details: $81,600 - $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

Department Overview TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to oversee the design, implementation, maintenance, and monitoring of effective internal controls to ensure business activities remain within TD Bank's risk appetite and comply with regulatory requirements. The team is responsible for overseeing the timely and consistent implementation – across all TDS businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement Enterprise and TDS policies, frameworks, methodologies, standards, and practices and are key members of enterprise projects / programs requiring TDS representation.

Reporting to the Senior Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C, is to support TDS businesses in adhering to applicable Financial Crimes Risk Management (FCRM) and fraud requirements, managing this risk, and ensuring effective FCRM and fraud controls in place. This role works in partnership with other G&C teams, TDS businesses, and risk partners, to contribute to the ongoing management of FCRM and fraud risk.

• Support the execution of the AML and Anti-Bribery and Corruption (ABAC) Risk assessments, including provision of data, inherent risk documentation, and control documentation. This includes the automation of data input.
• Execute testing of key controls within established deadlines, applying TD testing methodology.
• Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution.
• Further, assist TDS Businesses in developing and executing action/remediation plans to address control gaps as well as the root cause themes.
• Build and maintain constructive relationships with FCRM and fraud risk partners as well as other key stakeholders to ensure FCRM and fraud requirements are understood and met.
• Identify and escalation (as required) key FCRM and fraud issues and risks to the Manager.
• Assist with ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines.
• Support G&C executive reporting on the overall status of programs.
• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.

Job Requirements

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
• Minimum 2 years of AML, Risk, and/or Audit experience (financial services industry preferred).
• Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology.
• Strong interpersonal and relationship management skills.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• Ability to take initiative and work independently and in a team environment.

Who We Are:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. 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.

• base salary
• variable compensation
• health and well-being benefits
• savings and retirement programs
• paid time off
• banking benefits and discounts
• career development
• reward and recognition programs

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.

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.

Our Values

At TD we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion

At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment

TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

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