Senior Compliance Governance & Operations Analyst (US)

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40

Pay Details:

$72,280 - $108,160 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.

Job Overview:

The Senior Compliance Business Oversight Analyst will ensure the effective implementation and ongoing enhancement of EGRC frameworks and standards, promoting a culture of regulatory compliance, accountability, and operational excellence. This role involves working closely with Compliance personnel to support and coordinate activities related to the development and oversight of rollout of quality control and change activities. The Analyst will establish and maintain comprehensive reporting and governance documentation, assist in the preparation for internal audits and regulatory examinations, and track remediation efforts. They will support the resolution of compliance-related findings, ensuring effective communication with relevant stakeholders, and coordinate ad hoc responses to regulatory agencies. Additionally, the Analyst will manage internal audit findings and requests related to the risk and reporting team's oversight. The role also involves engaging in continuous improvement initiatives to enhance compliance risk and reporting processes, promoting a culture of risk awareness throughout the organization.

Job Summary:

The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.

Depth & Scope:

• 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.