Sr. Analyst, Compliance Program Management

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:

• Utilizing best practice PMO methodology (e.g., maintain plans, risk, and issues, etc.) to manage full project lifecycle from gathering requirements, to development, and deployment
• Build and maintain detailed project plans, timelines, and communication reports for senior management and risk management executives
• Drive progress issue-by-issue and ensure deadlines are met
• Develop, scope, and plan prioritized risk-based action plans
• Proactively track project progress against goals and business objectives
• Resolve complex interdependent activities and categorized them into activities, tasks, and sub-tasks
• Document and monitor project activities to ensure adherence to schedules, risk of delay, and control project status
• Liaise with internal teams including risk owners, oversight functions, IT, operations, risk, compliance, and legal to align project objectives
• Lead cross-functional teams and steer implementation, maintenance, and enhancement of regulatory compliance and risk management objectives
• Lead the execution of major project and compliance initiatives across the enterprise
• Drive end results of compliance initiative projects
• Facilitate remediation-related engagements with risk owners and compliance oversight functions Facilitation communication between business stakeholders' technology teams, and regulators
• Communicate project status, risks, potential obstacles, and issues relevant to staked holders and escalate risks, concerns, and issues as warranted
• Proactively recognize when problems surface or the potential of looming problems
• 'No surprises' approach to communicating problems, issues, or concerns
• Ability to discern and differentiate between an issue, risk, or BAU activities and communicate the level of attention required for each
• Ability to bring the right people together to problem solve and know when a problem has been properly addressed and should be closed out.

• 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 / University degree
• 5 - 7+ years of project management experience independently managing multiple highly-complex or large-scale transformation projects
• Preferred experience in fintech, regulated financial services institutions, or consulting firms
• Experience with regulatory programs or consent order projects
• Demonstrated ability to think critically, strategically, analytically and to creatively problem solve
• Strong leadership skills with a proven track record in driving positive and sustained change
• Experience managing inter-departmental dependencies (e.g., working with Compliance, ORM / ERM, Technology, Internal Audit, Legal)
• Excellent verbal and writing skills
• High sense of ownership, adaptability, flexibility, and ability to manage strategy with risk tolerances and business needs
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
• Track record of working independently in fast-paced, environments and delivering results on time
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic
• Must be highly proficient and skilled in Word, Excel, PowerPoint, Outlook, Teams, Microsoft Office Suite, MS Project, Visio, and Power BI
• Proficiency with compliance related GRC tools (e.g., ServiceNow, Archer)
• Master's degree in business administration (MBA), Project Management, Engineering Management, or a related field b(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