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Senior Compliance Governance & Operations Analyst (US)

337107BR
Anti-Money Laundering / Compliance & Regulatory Relations
Falmouth, ME

Additional Locations: Mount Laurel, NJ

May 5, 2022

Company Overview

About TD Bank, America’s Most Convenient Bank®

TD Bank, America’s Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US.

TD Bank, America’s Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol “TD”. To learn more, visit www.td.com.

#uscompliance

Department Overview

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.

Job Description

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.
Provides responses to regulatory agencies and Internal Audit. Interacts directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness.
Acts as the primary subject matter expert for certain Compliance Program elements and is expected to make decisions regarding compliance with these Program requirements and to escalate instances of non-compliance.
Works independently as the senior analyst/subject matter expert and may coach and educate others
Oversees and/or independently performs tasks from end to end
Applies expert knowledge of business operations, products, services, methods and operating standards to drive unit or team performance and provides training to other team members based on expert knowledge
Executes on more complex and/or non-standard requests
Researches and investigates a range of operational/reporting/process issues and provides recommendations to senior management across the enterprise (including Global partners)
Recommends and implements solutions within own area of responsibility that impact the strategies and objectives of the Department
Coordinates/integrates work with other areas as needed
Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
Requires advanced technical/business/function knowledge for discipline supported
High level of complexity in operational/reporting/process and/or analysis function requiring medium to longer term focus
Represents the group as the lead or subject matter expert on projects/initiatives and/or at meetings across the organization

Preferred Qualifications:
Project management of moderate complexity change
Supports initial regulatory analysis phase and provides input to Gap Analysis and Impact Assessment process
Provides direct input in to requirements strategy and development
Leads project team and business and control partners in the identification and mitigation regulatory and other risks related to regulatory changes
Provides on-going and ad hoc regulatory status updates to compliance leadership
Manages completion of regulatory change documentation
Maintains knowledge of the regulatory environment and subject matter expertise for specific regulations during implementation
Oversees the Regulatory Working Group within implementations which provides a closed forum for Compliance and Legal to review issues and discuss guidance

Requirements

Undergraduate degree required
Relevant professional designations and/or certifications as requested
5+ years relevant experience
Proficient knowledge of compliance, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems
Knowledge of risk management environment, standards, and regulations
Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements
Skill in using computer applications including MS Office
Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
Ability to independently identify, assess, and escalate issues requiring senior management attention
Ability to communicate effectively in both oral and written form
Ability to work collaboratively and build relationships
Ability to work independently and successfully as a member of a team
Ability to lead, plan, implement and evaluate program/project activities to ensure completion of initiatives
Ability to exercise sound judgement in making decisions
Ability to analyze, organize and prioritize work while meeting multiple deadlines
Ability to handle confidential information with discretion

  • Must be eligible for employment under regulatory standards applicable to the position.
  • Hours

    40

    Inclusiveness

    At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

    If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

    EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.