Risk Analyst - 2LoD Controls Testing and Oversight

About the role

The Governance & Control Analyst III provides specialized business governance and control guidance and support for a business or functional area and implements policies/processes and/or initiatives to meet business governance and control objectives. May provide complex reporting, analysis, testing and assessments at the functional or enterprise level and is generally a lead or SME for a given area/function.

Responsibilities

• Supports the execution of independent Second Line of Defense (2LoD) testing and validation programs across regulatory reporting, internal risk reporting, data risk management, and liquidity and capital risk management.
• Provides independent review and challenge of First and Second Line processes, controls, data, and reporting practices to assess compliance with regulatory requirements, internal standards, and industry-leading practices.
• Evaluates end-to-end data lineage, data transformations, calculation methodologies, control frameworks, and reporting governance to validate the integrity, accuracy, and regulatory compliance of risk management and reporting processes.
• Executes independent 2LoD testing in the following areas: Control Design & Operating Effectiveness, Transactions Testing, Data Reconciliations, Logic Reperformance, Data Profiling/Analytics, End-User Computing (EUC), Policy & Procedure Review, Governance/Oversight, and Regulatory Rule Compliance.
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.

Requirements

Undergraduate degree preferred
Broad knowledge of business and risk and control environment
4+ years of relevant experience
Solid knowledge of governance, risk and control procedures, strategies & tactics
Skill in using analytical software tools, data analysis methods and reporting techniques
Skill in using computer applications including MS Office
Ability to communicate effectively in both oral and written form
Ability to work collaboratively and build relationships
Ability to work successfully as a member of a team and independently
Ability to exercise sound judgment in making decisions
Ability to analyze, research, organize and prioritize work while meeting multiple deadlines
Ability to process and handle confidential information with discretion

Qualifications

• Execute independent 2LoD testing in the following areas: Control Design & Operating Effectiveness, Transactions Testing, Data Reconciliations, Logic Reperformance, Data Profiling/Analytics, End-User Computing (EUC), Policy & Procedure Review, Governance/Oversight, and Regulatory Rule Compliance.
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.
• Supports/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.

Skills

Skill in using analytical software tools, data analysis methods and reporting techniques
Skill in using computer applications including MS Office
Ability to communicate effectively in both oral and written form
Ability to work collaboratively and build relationships
Ability to work successfully as a member of a team and independently
Ability to exercise sound judgment in making decisions
Ability to analyze, research, organize and prioritize work while meeting multiple deadlines
Ability to process and handle confidential information with discretion

Benefits

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.

Pay

$61,880 - $99,320 USD

Schedule

40 hours per week