Sr. Analyst, Compliance Program Effectiveness Data and Aggregation

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

Hours:
40

Pay Details:
119,600 - 178,880 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 not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.

The Ideal Candidate

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

TD Bank is seeking a Senior Analyst for Compliance Strategy and Operations (S&O) to support the overall Regulatory Compliance Management (RCM) Program and Framework. This strategic, hands-on role focuses on ensuring data consistency and integrity across compliance, risk management and operation domains with a strong emphasis on regulatory compliance. You will shape data strategy, collaborate cross-functionally, and assist in establishing governance standards that support regulatory, reporting, and operational needs. Must thrive in a fast-paced environment and able to manage multiple competing priorities.

Key Responsibilities:

• Assist and collaborate in the design and implementation of a comprehensive data management strategy that includes automated data validation and quality control.
• Build and maintain datasets, pipelines, dashboards, and reporting processes
• Improve efficiencies to support continued improvement of the Risk Compliance Management Program
• Analyze data to identify compliance trends and emerging risks using data visualization tools to facilitate informed decision-making
• Define and establish enterprise data governance standards, policies, and escalation protocols
• Gather requirements and promote best practices in data stewardship and usage
• Optimize workflow processes by compiling and streamlining data updates
• Automate tactical compliance solutions, governance controls, and data remediations to increase efficiency and reduce manual intervention
• Build tools and services around risk and compliance management
• Develop and maintain risk models, heat maps, and dashboards that highlight emerging risks across Compliance Program lifecycles
• Ensure data quality and consistency developing reusable assets and well-documented data layers
• Evaluate data modules and scenarios
• Conduct data and system tuning, optimization and validation specific to compliance and risk monitoring
• Create and generate executive case summaries to support Chief Compliance Officer reporting to Executive Leadership, the Board(s) of Directors, Global Internal Control and Compliance Departments, and other key stakeholders.
• Develop dashboards and visualizations to communicate key Compliance metrics and business insights
• Translate regulatory and business requests into accurate, audit-ready reports
• Evaluate metrics including KRIs and KPIs to spot trends, patterns, and emerging risks
• Consolidate data from multiple and divergent sources into a single, comprehensive, and easily digestible centralized repository to improve data accessibility and operational efficiencies

• 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 escalate 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

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

• Bachelor's degree in Business, Engineering, Computer Science, Statistics or related field
• Minimum of 5-7 years of experience in data analysis or data engineering with a minimum of 5 years of experience in corporate compliance, risk management, regulatory reporting, or an audit-facing role
• Working knowledge of the elements of an effective compliance management system
• Excellent writing skills and experience writing executive summaries
• Ability to communicate clearly and professionally in emails, reports, and other documents
• Highly detailed-oriented, strong organizational skills and thorough attention to detail
• Excellent analytical, troubleshooting, and problem-solving skills
• Ability to think critically and work independently without direct oversight
• Strong computer skills (e.g. database management, MS Word, Teams, Excel, PowerPoint, Power BI, Visio, Outlook, and other software)
• Familiarity with GRC and compliance industry tools and resources (e.g., ServiceNow, Archer, MERLIN, SharePoint,)
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators
• Track record of working independently in fast-paced, environments and delivering results.
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic
• Master's degree in business administration (MBA), Project Management, Engineering Management, or a related field (a plus).
• Certification in risk management or financial analysis (FRM, PMI-RMP, CFA, etc.) (a plus).
• Prior consulting experience in Compliance Advisory, Risk Management, or Audit (a plus).

• Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner
• Coordinates requests to and from, business (Compliance) partners and coordinates tracking and reporting of Compliance function initiatives and programs
• Prepares and delivers summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
• Recommends responses to enterprise Compliance Program questions and immediately escalates any sensitive issues according to departmental procedures
• Analyzes data and draw conclusions to meet program health reporting requirements
• Analyzes emerging trends pertaining to regulatory changes, reporting or other departmental functions and provides recommendations to enhance or rectify Compliance - related gaps, issues and enhancements
• Proactively identifies matters requiring additional review, escalation, and liaises with appropriate staff to resolve, as appropriate

• Contributes to various activities and processes as assigned
• Adheres to enterprise frameworks or methodologies that relate to activities for own business area
• Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
• Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area
• Protects the interests of the organization - identifies and manages risks, and escalates non-standard, high risk activities as necessary
• Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
• Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
• Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
• Acquires and applies expertise in the discipline, provides guidance, assistance and direction to others
• Identifies, recommends and effectively executes standard practices applicable to the discipline
• Adheres to internal policies/procedures and applicable regulatory guidelines
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
• May lead work streams by acting as a project lead/subject matter expert for small scale projects/initiatives in accordance with project management methodologies

• Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interest
• Supports the team by continuously enhancing knowledge/expertise in own area and participate in knowledge transfer within the team and business unit
• Keeps current on emerging trends/ developments and grows knowledge of the business, related tools and techniques
• Participates in personal performance management and development activities, including cross training within own team
• Keeps 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
• Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
• Contributes to a fair, positive and equitable environment that supports a diverse workforce
• Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

• Domestic Travel - Occasional
• International Travel - Never
• Performing sedentary work - Continuous
• Performing multiple tasks - Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds - Occasional
• Sitting - Continuous
• Standing - Occasional
• Walking - Occasional
• Moving safely in confined spaces - Occasional
• Lifting/Carrying (under 25 lbs.) - Occasional
• Lifting/Carrying (over 25 lbs.) - Never
• Squatting - Occasional
• Bending - Occasional
• Kneeling - Never
• Crawling - Never
• Climbing - Never
• Reaching overhead - Never
• Reaching forward - Occasional
• Pushing - Never
• Pulling - Never
• Twisting - Never
• Concentrating for long periods of time - Continuous
• Applying common sense to deal with problems involving standardized situations - Continuous
• Reading, writing and comprehending instructions - Continuous
• Adding, subtracting, multiplying and dividing - Continuous