Senior Governance & Control Analyst, Regulatory (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Governance & Control

Pay Detail:

-

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:

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.

JOB DESCRIPTION

Reporting to the Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C Regulatory Compliance Management (RCM), is to support TDS businesses in adhering to applicable RCM Standards requirements, managing risk, and having effective operational RCM controls in place.  The role will liaise between team members, cross functional teams across various geographies to ensure deliverables and requirements are met. 

As part of the key accountabilities of the role, the individual will be expected to:

• Support all elements of the TDS RCM program, including update, development, communication, and implementation of TDS RCM procedures to align with new enterprise RCM Standards.
• Support and perform RCM Monitoring and Testing of TDS business follow the principles of the Monitoring & Testing Standards.
• Build and maintain constructive relationships with TDS and Compliance partners as well as other key stakeholders to ensure TDS RCM Program requirements are understood and met.
• Assist with TDS RCM Program changes and support the maintenance of TDS RCM inventories, processes, and Issues Management in the MERLIN application.
• Maintain a general understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to ensure program alignment and provide tailored advice and strategic counsel to TDS partners.
• Assist and support with drafting material for TDS and enterprise RCM committees, meetings, or training.
• Escalate and report RCM issues to Manager, prepare TDS RCM reporting as required.
• Fully participate as a member of the team, promoting team effectiveness and contributing to a positive work environment.

JOB REQUIREMENTS

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.
• Solid knowledge of compliance governance, compliance management practices, enterprise compliance policy, standards & strategy.
• Minimum 2 years of Compliance, Risk, and/or Audit experience (financial services industry preferred).
• 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.

The Senior Governance & Control Analyst –provides specialized business governance and control guidance and expertise within the Regulatory Operations functional area and implements policies/processes and/or initiatives to meet business governance, risk,  and control objectives. May provide complex