Senior Compliance Testing Analyst (US)

Work Location

Charlotte, North Carolina, United States of America

Hours

40 hours per week

Pay Details

S72,280 - S108,160 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues.

Job Description

At TD Bank US Compliance, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. The role involves managing day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

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. You will need to be strategic, tactical, collaborative, and creative in your approach.

U.S. Compliance Monitoring and Testing Team Summary

U.S. Compliance Monitoring and Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing and validation activities to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates.

Duties

• Execute independent testing and validations as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Monitoring and Testing's approved testing and validation methodology.
• Manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
• Manage and oversee more complex and/or non-standard assignments as requested.

Education & Experience

• Undergraduate degree or equivalent work experience
• 5+ years of experience

Desired Qualifications

• Prior testing, audit or business operations experience in areas involving regulatory compliance
• Prior experience with execution of testing, validation or audit activities
• Detail oriented and well-developed organizational, time management and project management skills
• Strong verbal and written communication skills
• Ability to manage multiple tasks and competing priorities
• Proficiency with Microsoft Office applications

Customer Accountabilities

• Executes testing engagement work in accordance with established standards to achieve completion within target timelines
• Conducts skilled analytical research and analysis as part of the testing engagement and initiatives
• Works collaboratively with key Compliance and business line partners throughout the testing engagement
• Identifies potential errors following testing standards
• Executes validation of findings raised from testing engagements in accordance with established standards
• Proactively identifies matters which require additional attention, further escalation, or review

Shareholder Accountabilities

• Prioritizes and manages own workload to deliver quality results and meet assigned timelines
• Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility
• Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System
• Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities

• Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
• Supports a fair, positive and equitable environment that supports a diverse workforce
• Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally