Senior Compliance Testing Analyst (2739, 2741, 2742, 2743)

Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Compliance

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 Compliance Testing Team conducts risk-based Testing engagements across various Canadian Retail, Business Banking, and Corporate Office business units. This is an outstanding opportunity to be at the forefront of corporate governance, operating within a fast-paced regulatory environment.

Job Description:

Reporting to the Senior Manager, Compliance Testing, the primary responsibility of the Senior Compliance Testing Analyst is to execute testing activities for various Full-scope and Limited-scope Testing engagements, as assigned. Overall success is measured by the effective completion of all assigned Testing activities, the quality of the work performed and the identification of issues in the materials assessed. The successful candidate will work closely with members of the Canadian Banking Compliance team, as well as other risk management partners such as the Global Privacy Office and Legal.

Accountabilities:

The successful candidate will be responsible for managing the following specific accountabilities:

• Timely execution of Full-scope and Limited-scope Testing engagements, in accordance with established standards, to identify issues of non-compliance with applicable regulatory requirements.

• Conduct skilled analytical research and analysis as part of the assigned testing engagements and initiatives.

• Present objective and independent opinion on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements.

• Prepare the final report to management, discuss the report with management, and ensure that appropriate remediation plans and dates are obtained on a timely basis.

• Execute follow-up of findings raised from testing engagements in accordance with established standards.

• Prioritize and manage workload to deliver quality results and meet assigned timelines.

• Adhere to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve Compliance controls.

• Maintain a culture of risk management and control, supported by effective processes in alignment with the Compliance risk appetite.

• Assist with special projects, as required.

Qualifications/Skills/Experience:

• Strong organizational and analytical skills to ensure execution of Testing activities.

• Excellent and effective communication, relationship management and documentation skills.

• Ability to solve problems, think critically and escalate issues as required.

• Ability to work effectively within a team environment.

• Strong time management and multi-tasking capabilities.

Specific Educational Requirements:

• Post-secondary education.

• A minimum 5 years of relevant work experience.

• Accounting designation (i.e. CPA, CA), considered an asset.

• Experience in a control testing or a regulatory compliance environment, considered an asset.

• Previous experience within the banking industry, specifically Canadian Retail banking, considered an asset.

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):
Sans Objet