Compliance auditor • longueuil qc
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Description
:The TD Equipment Finance (TDEF) team is a center of excellence within TD Specialized Commercial Banking. Our mandate is to structure equipment financing (leases and loans) for business clients and prospects as an alternative to other conventional bank sources of financing such as term loans. We are looking for new team members to join our Compliance & Governance department within TDEF Canada through a short-term assignment of 8 months.
For this position, you will provide a range of operational process support within the AML Compliance team functional area for TD Equipment Finance. You will develop and maintain knowledge of relevant internal guidelines regarding AML KYC as well as existing and emerging Compliance risk across the business. On a typical day, you will be assisting the business by conducting AML reviews of potential and existing customers requests while adhering to TD's Compliance practices. You will act as a key resource/specialist owner by providing operational process support on Compliance matters by following established procedures. You will perform routine to broad tasks & investigate problems during reviews and help identify solutions. You will be providing support of Compliance related activities and transactions to resolve business issues. You will participate in improving the service delivery and support process improvement initiatives of the department while participating in special projects, audits & Quality Control reviews.
Job Requirements :
Business line subject matter expert on Compliance matters. Researches and responds to compliance related questions as requested.
Meet or exceed customer expectations for turnaround time when conducting AML Reviews. Quickly resolve issues to deliver a positive customer experience with your ability to communicate effectively in both oral and written forms. Complete assigned tasks accurately, with speed and within established standards.
Keep up to date on regulatory and policy modifications. Support development of procedures and governance processes and advise the Compliance stakeholders and teams of any changes.
Participate in the development and training to strengthen knowledge base of compliance and regulatory topics for the business. Stays current on changes regarding internal policies and procedures to understand impact and ensure compliance. Reviews and updates TDEF procedures as appropriate
Interact with control functions within the organization. Collaborate directly with Compliance partners and other related groups (Legal, Op Risk, GAML, etc.) to support documentation and reporting required by external regulatory bodies and TD internal groups.
Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate.
Participate and take initiative related to all Internal/External Audits, and Quality Control reviews. Develop and complete quality control validations as requested by Senior Management
Identify areas of risk and escalate emerging issues to the appropriate level. Assist Compliance team members in the use of Issues and Events system for tracking and reporting. Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program's at TDEF.
Participates in special projects and performs additional duties as required. Active participant in diverse Compliance & Governance business initiatives.
Ability to manage multiple requests and deadlines, exercise sound judgment while ensuring accuracy in day-to-day situations.
Undergraduate degree
2+ years relevant experience
Relevant professional designations and/or certifications, as required.
Temporary assignment : 8 months
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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.Our Total Rewards Package
