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The Global Compliance (\u0022Compliance) mandate is to foster a culture of integrity and compliance throughout the Toronto Dominion Bank (TD) globally. Compliance protects TD brand and operates within our risk appetite and it is designed to maintain confidence in TD with our customers, regulators, investors, and markets. Compliance provides second line of defense oversight of federal and provincial/state banking, securities and insurance laws, regulations, regulatory guidelines, voluntary codes and public commitments, the Code of Conduct and Ethics and Compliance policies related to TD's activities and practices with respect to regulation of business conduct, and market conduct.
The Innovation, Technology and Shared Services (ITSS) compliance team provides oversight and proactive objective guidance. It challenges the businesses and Corporate Office Areas (COAs) with the aim of fulfilling the Compliance Department Mandate and mitigating regulatory compliance risk. This team supports ETS, EOE and ED&A by assessing the adequacy, adherence and effectiveness of TD's day-to-day Regulatory Compliance Management (RCM) controls, and the Chief Compliance Officer opinion to the Board.
As a second line of defense, Compliance is responsible for the independent oversight of compliance risk across TD globally; driving a consistent, adaptable and effective culture across the organization; and assessing the adequacy of, adherence to and effectiveness of TD's Regulatory Compliance Management (RCM) program. The role of Compliance is to:
Lead the identification and assessment of applicable Privacy, banking, securities and insurance laws, regulations, regulatory guidelines, voluntary codes and public commitments, and TD policy and standards with respect to regulation of business conduct and market conduct.
Perform inherent and residual Compliance risk assessments of the business segments.
Develop and communicate enterprise governance and control methodologies related to RCM.
Oversee and report on business unit regulatory issues/events and associated remediation.
Perform business unit oversight monitoring to evaluate and assess the adequacy and effectiveness of the 1st line of defense RCM controls.
Develop and deliver specialized/ad hoc Compliance training, as required.
Provide independent challenge and objective guidance to the business units.
Reporting to the Senior Manager, ITSS Compliance, the role of the Senior Compliance Business Oversight Analyst is to support the development and enhancement the first and second line of defense programs. This role will focus on Global Compliance programs and initiatives including the Enterprise Governance Risk and Control (EGRC), Conduct Risk Policy, TD Accessibility Policy, Compliance Risk Assessment Methodology (C-RAM), Regulatory Issue Management and project advisory services.
This is an exciting opportunity for individuals who have a keen interest in technology and innovation. The business units this team supports are changing rapidly and count on the support of Compliance to navigate through the regulatory risk environment.
The Senior Compliance Business Oversight Analyst will:
Establish and manage effective relationships with each supported business and promote alignment with compliance program requirements
Assist the development, implementation, oversight and management of compliance programs including the Compliance Risk Assessment Methodology (C-RAM) and Regulatory Compliance Management (RCM) programs
Review control assessments and communicate results in a continuous and timely fashion
Assist with the development of business line policies and compliance team procedures
Identify and manage risks, and promote the prompt and thorough resolution of issues
Maintain and enhance the effectiveness of the compliance issues management program
Oversee the compliance issues management and closure process
Interact with control functions including other compliance units, operational risk management, AML, privacy and Audit
Work closely with business governance teams to promote accurate and thorough measurement and reporting of risk factors
Determine risk exposure, mitigation, and controls for new products and protect the interests of the Bank
Assess the impact of business issues, regulatory requirements and provide insights and recommendations
Identify compliance requirements applicable to business projects
Provide proactive advice related to new or changed regulations or policies
Keep abreast of emerging issues, technology trends, and evolving regulatory requirements
The ideal candidate has a natural passion for current and emerging technologies; and will have experience working in an Information Technology (IT) role or IT risk management function.
Experience reviewing and assessing requirements and impacts of regulations
Relevant knowledge of legislation, regulations and industry standards that apply to privacy, banking, technology and information security
Fundamental understanding of technology risks and controls and cyber threats
Strong understanding of the 3 lines of defence model
Able to work independently, think critically and generate creative solutions
Able to make sound judgements independently
Confident and effective communication skills
Experience managing relationships across varying business units
Able to deal with all levels of staff within the Bank
Well-developed organizational awareness and business acumen
Able to prioritize multiple tasks with competing deadlines
Experience with issues triage, documentation, and reporting
Able to accept and manage conflicting points of view and work collaboratively
Strong attention to detail
Professional experience in a governance related field (e.g. compliance, privacy, risk management, AML, legal, audit)
Professional experience in a technology related field (e.g. infrastructure and/or application support, information security and cyber risk management)
Relevant professional designations and/or certifications
5\u002B years relevant experience
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 and serve; and creating an environment where every employee can reach their potential. TD is committed to providing accommodations. If you require an accommodation, we will work with you to meet your needs.
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 and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.