Senior Analyst, Regulatory Compliance Risk Assessment Data and Reporting (US)

RiseMe; North Carolina; On-site; USD 72,000 - 118,000; Full time

Job summary

TD Bank US Compliance is seeking a Senior Compliance Analyst to support enterprise Regulatory Compliance Risk Assessments (RCRA) through data management, analysis, and management reporting. You will transform data into actionable insights for senior leadership and participate in governance and dashboard development.

The role emphasizes independent judgment, cross-functional collaboration, and the ability to deliver timely, accurate risk insights across regulatory programs and control

Qualifications

• Undergraduate degree or equivalent work experience.
• 5+ years of experience in Compliance, Risk Management, Data Analytics, or related field.
• Strong knowledge of Excel, PowerPoint, and Power BI for reporting and analytics.

Responsibilities

• Support ad hoc data analysis, regulatory requests, and audits.
• Automate manual reporting and improve data controls.
• Prepare management reporting and materials for senior leadership.

Skills

Data analysis

Regulatory compliance

Dashboarding

Stakeholder communication

Education

Undergraduate degree or equivalent

Tools

Power BI

Microsoft Excel

PowerPoint

Job description

Work Location: New York, New York, United States of America

Hours: 40

Pay Details: $72,280 - $117,520 USD

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.

Line of Business: Compliance

Job Description:

Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

Reporting to the Manager or Senior Manager, Compliance Risk Assessments, the Senior Compliance Analyst supports the execution of the enterprise Regulatory Compliance Risk Assessment (RCRA) through data management, analysis, quality control, dashboarding, and management reporting. The role transforms assessment data into timely, accurate, and actionable insights that support program oversight, stakeholder decision-making, and senior management reporting.

Key Responsibilities:

• Support ad hoc data analysis, transformation initiatives, regulatory requests, audit or quality assurance reviews, and other program priorities as required.
• Identify opportunities to automate manual reporting, strengthen data controls, simplify processes, and improve the usability and timeliness of RCRA insights.
• Support assessment-cycle activities, including stakeholder communications, data preparation, progress monitoring, issue escalation, and preparation of materials for review and challenge sessions.
• Partner with Compliance Program Management, Compliance Data Enablement and Transformation, Business Application Support, Risk Owners, and Oversight Functions to clarify data requirements and improve reporting outcomes.
• Support metric governance by maintaining metric inventories, calculation logic, thresholds, reporting requirements, and evidence supporting the validity and verifiability of reported information.
• Maintain clear documentation of data sources, definitions, calculations, assumptions, transformations, controls, and report production steps to support accuracy, repeatability, and end-to-end traceability.
• Prepare recurring and ad hoc management reporting, including concise commentary, supporting analysis, and presentation materials for Compliance leadership and other senior audiences.
• Analyze RCRA results to identify trends, concentrations, outliers, and emerging themes across business units, segments, Laws, Rules and Regulations, and Enterprise Risk Framework taxonomy levels.
• Perform data validation, reconciliation, and quality control activities to identify incomplete, inconsistent, duplicate, or anomalous assessment data and coordinate timely resolution with data owners and stakeholders.
• Develop and maintain RCRA execution trackers, dashboards, data visualizations, and status reporting to monitor progress, completion, quality, and key program indicators.
• Support the collection, extraction, consolidation, and maintenance of RCRA and Program Effectiveness Assessment data from approved source systems, templates, and stakeholder submissions.

***The above details are specific to the role which is outlined in the general description below. Please review the Preferred skills below as you consider this opportunity.

The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.

Depth & Scope:

• Expected to exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory risk matters.
• Empowered to make prudent professional decisions in rendering advice and counsel to business lines or assigned areas on compliance matters and regulatory risks which may impact performance of the business and overall enterprise strategies and objectives.
• Provides responses to regulatory agencies and Internal Audit. Interacts directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness.
• Acts as the primary subject matter expert for certain Compliance Program elements and is expected to make decisions regarding compliance with these Program requirements and to elevate instances of non-compliance.
• Works independently as the senior analyst/subject matter expert and may coach and educate others
• Oversees and/or independently performs tasks from end to end
• Applies expert knowledge of business operations, products, services, methods and operating standards to drive unit or team performance and provides training to other team members based on expert knowledge
• Executes on more complex and/or non-standard requests
• Researches and investigates a range of operational/reporting/process issues and provides recommendations to senior management across the enterprise (including Global partners)
• Recommends and implements solutions within own area of responsibility that impact the strategies and objectives of the Department
• Coordinates/integrates work with other areas as needed
• Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
• Requires advanced technical/business/function knowledge for discipline supported
• High level of complexity in operational/reporting/process and/or analysis function requiring medium to longer term focus
• Represents the group as the lead or subject matter expert on projects/initiatives and/or at meetings across the organization

Education & Experience:

• Undergraduate degree or equivalent work experience
• 5+ years of experience

Preferred Skills:

• Undergraduate degree required; relevant professional designation, data analytics training, or reporting certification is an asset.
• Must have 5+ years of relevant experience in Compliance, Risk Management, Data Analytics, Business Intelligence, Reporting, Internal Audit, or a related discipline.
• Self-starter who can independently execute assigned work, exercise sound judgement, elevate issues appropriately, and contribute to small projects or process-improvement initiatives.
• Proven relationship management and collaboration skills, with the ability to work effectively across Compliance, Risk, Technology, Data, and business teams.
• Strong organizational and time-management skills, with the ability to manage recurring reporting cycles, ad hoc requests, and multiple deadlines in a changing environment.
• Excellent written and verbal communication skills, with the ability to explain analytical findings and reporting requirements clearly to technical and non-technical stakeholders.
• Strong critical thinking and problem-solving skills, including the ability to identify trends, outliers, dependencies, and emerging risk themes.
• Strong attention to detail and commitment to data accuracy, completeness, consistency, timeliness, and traceability.
• Ability to perform data quality reviews, investigate discrepancies, identify root causes, document findings, and coordinate corrective action with stakeholders.
• Advanced proficiency in Microsoft Excel and PowerPoint; experience with Power BI, data visualization tools, GRC platforms, databases, or reporting automation is preferred.
• Experience developing management reports, dashboards, metrics, data visualizations, and concise written insights for business and senior management audiences.
• Strong data analysis and reporting skills, with the ability to organize, reconcile, interpret, and summarize complex information from multiple sources.
• Working knowledge of regulatory compliance risk management principles and risk assessment concepts, including inherent risk, control effectiveness, residual risk, and supporting rationale.

Customer Accountabilities:

• Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner