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Senior Compliance Business Oversight Analyst- Corporate Office Co (US)

352321BR
Anti-Money Laundering / Compliance & Regulatory Relations
Statewide – Mount Laurel, NJ

Additional Locations: Lewiston, ME Greenville, SC

May 23, 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 Business Oversight Analyst provides objective guidance, support and advice to assigned portfolio, business or function to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks. This role contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws.

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 significant regulatory compliance 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.
Expert level professional role requiring in-depth knowledge/expertise in Compliance and working knowledge of broader related areas
Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
Research, review and maintain expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws
Acts as the primary subject matter expert for regulations applicable to business partners and provides guidance, consultation and expert advice with respect to the business partners’ compliance with such regulations directly related to the operations of the business
Creates training content and may train business partners on regulatory requirements
Advises the business with respect to the implementation of new and amended regulatory requirements
Independently reviews and utilizes discretion, judgement and specialized expertise in approving the documentation for business line use: disclosures; forms; customer-facing correspondence; operating procedures; and policies
Independently performs targeted and periodic monitoring of business activities for compliance with regulatory requirements and regulator expectation
Identifies and communicates areas of non-compliance and/or material control weaknesses
Responsible for the oversight of business partners’ remediation of regulatory issues, including exercising discretion and independent judgment in reviewing and approving remediation action plans
Responsible for assessing regulatory risk associated with new products, services and other initiatives that have significant operational or financial impact
Integrates the broader organizational context into advice and solutions within the Compliance area
Understands the industry, competition and the factors that differentiate the organization
Leads projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs
Contact for business management, external/internal auditors, dealing with non-routine information
Recommends and implements solutions within own area of responsibility
May need to coordinate/integrate work with other areas as needed
Identifies and leads problem resolution for complex requirements related issues at all levels

Requirements

Undergraduate degree required
5+ years relevant experience
Relevant professional designations and/or certifications as required
Proficient knowledge of a variety of products and services, systems, and compliance advisory standards, procedures, laws, rules, regulations and controls
Knowledge of risk management environment, standards and regulations
Knowledge of current and emerging trends
Skill in using advanced analytical software tools, data analysis methods and specialized 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, 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.