Compliance, Governance Analyst – RCM Controls (3976)

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Governance & Control

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

The Global Compliance Business Transformation Enablement team supports the effective and sustainable execution of the Enterprise Regulatory Compliance Management (RCM) Controls Standard.  The Enterprise RCM Framework operationalizes OSFI Guideline E-13 Regulatory Compliance Management (Guideline E-13) and provides an overview of the Bank’s risk-based RCM Program to manage applicable regulatory compliance risk. The RCM Controls program sets out the processes and key program elements through which Risk Owners and Oversight Functions globally are expected to manage and mitigate regulatory compliance risk inherent in their business or corporate segment activities.

Job Details

The Compliance, Governance Analyst role reports to the Senior Manager, responsible for RCM Control program oversight.

Job Description

Most RCM processes produce data on the adequacy of, adherence to and effectiveness of the day-to-day controls, which is used to determine whether the bank is in compliance with applicable regulatory requirements enterprise wide. Therefore, as part of its mandate, Compliance RCM controls team is responsible to support the data quality management by implementing and maintaining the governance oversight routines, executing reporting and conducting data analysis against program metrics, including trends, forecasting and root cause analysis.

We are looking for a self-starter with a strong technical knowledge of data management and reporting, with a strong understanding of the RCM framework. This includes coordinating intakes, maintaining governance routines -include Quality Assurance,

Specific accountabilities will include;

• Perform review of large data sets and leverage business intelligence tools to drive analysis and insight

• Strong analytical and problem-solving skills with strong attention to details to drive problem framing and solutioning

• Perform ongoing monitoring of the MERLIN Regulatory Control Inventory 

• Establish strong working relationship with TD Technology team and third-party data provider vendor to collaborate on activities to ensure that MERLIN Regulatory Control Inventory is accurate

• Perform oversight and reconciliation against regulatory control inventory for manual intake items

• Monitor and report on compliance with the RCM Regulatory Inventory and Control Standard

• Identify and propose improvements to the process, opportunities to automate and streamline, and participate in improvements implementation

• May entail opportunities to rotate onto other initiatives within Compliance Road to Strong function, as business priorities and demands arise.

• Facilitate communication between Compliance and other business units to ensure alignment on compliance initiatives and objectives.

Job Qualifications

• Undergraduate degree required; a graduate degree is preferred.

• 7+ years of diverse experience in combination of control program oversight, requirement gathering role, project execution and governance. Expertise with data quality initiatives preferred.  

• Strong personal and professional integrity, aligned with TD’s vision and brand protection.

• Hands-on experience with ServiceNow, or other industry-leading Governance, Risk, and Compliance (GRC) solutions

• Ability to analyze large volumes of information, identify key clarifications, and determine next steps.

• Proficiency in SQL, Python, or related query languages preferred

• Knowledge of reporting and BI platforms, tools, and techniques is a plus.

• Proven ability to identify and resolve performance and process bottlenecks.

• Strong track record in independently coordi