Senior Compliance Business Oversight Analyst, Transformation Enablement, Customer Service and Platforms Compliance (3218)

Work Location:
London, 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:

Department Overview

Transformation, Enablement & Customer Experience and Platforms (TECE-P) Compliance is responsible for overseeing regulatory compliance in accordance with the Enterprise Regulatory Compliance Management Framework (ERCMF). TECE-P Compliance provides ongoing regulatory support for businesses within the TECE segment and Platforms & Technology.

As an oversight function, Compliance supports business through independent regulatory compliance and conduct risk management oversight through promoting a culture of integrity, ethics and regulatory compliance across the organization; and assessing the adequacy of, adherence to and effectiveness of TD's day-to-day Regulatory Compliance Management (RCM).

Job Description

Reporting to the Senior Manager, TECE-P Compliance, the primary responsibility of the Senior Compliance Business Oversight Analyst, is to support the development and enhancement of both Risk Owner and Compliance RCM programs for the business units we support, with a focus on Global Compliance Program initiatives including the Regulatory Compliance Management (RCM) Framework and Standards (collectively "RCM Program"), Enterprise Governance Risk and Control (EGRC) Program, Conduct Risk Framework, Compliance Governance and Assurance Policy reviews, and various initiatives. This role may provide Compliance oversight for several business lines within TECE and Platforms. In addition, this role will support strategic Compliance program initiatives.

This is an exciting opportunity for individuals with expertise in the field of governance, risk and controls. Specific accountabilities include the following:

• Develop in-depth knowledge of regulations and processes pertaining to TECE and Platform businesses.
• Support the ongoing evolution and execution of the Compliance RCM Program which includes developing and aligning engagement and interaction models within Compliance, as well as first and second line control partners;
• Establish strong relationships with BU and corporate partners acting as a primary Compliance contact;
• Keep abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assess potential impacts;
• Conduct research and develop subject matter expertise related to innovation, top and emerging risks, regulatory trends and industry best practices;
• Risk-based Compliance oversight of multiple projects at a given time demonstrating superior prioritization and multitasking skills
• Act as a subject matter expert and provide objective guidance, challenge and support on regulatory compliance related matters;
• Contribute to a fair, positive, and equitable environment that supports a diverse workforce.

• Knowledge of relevant Canadian legislation, regulations and industry standards as it applies to Privacy, banking, and payments
• Experience in reviewing, assessing and applying regulatory requirements
• Ability to work independently, think critically and make decisions
• Highly organized and flexible in prioritizing various work demands
• Ability to manage high volumes of work in a fast-paced environment and manage multiple priorities
• Able to work collaborative and as part of a team
• Ability to influence people and deal with conflicting points of view
• Strong verbal and written communication skills with the ability to effectively interact and communicate at all levels of the organization
• Well-developed organizational awareness and business acumen
• Strong relationship management skills
• Able to accept and manage conflicting points of view and work collaboratively
• Ability to think "out of the box" to effect creative and responsive solutions
• Professional experience in a governance related field (e.g. Compliance, Risk Management, AML, Legal, Audit)

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