Senior Governance & Control Analyst, Regulatory

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$115,000 - $135,000 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.

Job Description:

Preferred Qualifications:

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 TDS Operations Analyst will act as a cross functional process analyst, conduct research, analysis and reporting on a range of operational and service issues.  Executes on critical projects and strategic special initiatives within a defined functional area that may require broader partnership across TDS and/or other TD enterprise functions. Enhance management decision making on policies, processes, products and services based on insights generated from analytics and reporting to advance the operating model / processes and elevate service quality. Facilitates the implementation of policies/processes and/or initiatives to meet functional objectives.

epth & Scope:

• Expert knowledge and understanding of the operating environment, business processes and procedures, and transaction lifecycle for own area and as applicable across TDS
• Considered a subject matter expert within own unit
• Executes on more complex and/or non-standard processes and requests of high complexity and risk/financial impact
• Researches and investigates a range of operational/reporting/ process issues
• Recommends and implements solutions