Senior Compliance Monitoring and Testing Analyst - Wealth (Audit)

Work Location : Canada

Canada

Hours : Line of Business :

Line of Business :

Enterprise Enabling Functions

Pay Details :

We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description : Department Overview

Department Overview

The Compliance Testing team works pro-actively with the divisions of TD Waterhouse Canada Inc., TD Asset Management Inc. (including TDAM USA), Private Investment Counsel Inc.

Private Trust, Private Banking, TD Insurance and various other departments within TD who provide support to these businesses.

We test and monitor for regulatory compliance to protect the interests of TD, the wealth and insurance businesses, its employees and clients.

Job Description

Reporting to the Testing Manager, the Senior Testing Analyst will focus on providing support for the wealth testing and monitoring program.

The Senior Testing Analyst models strong ethics, integrity and leadership to promote a positive work environment that fosters collaboration, innovation and synergies.

The Senior Testing Analyst will be responsible for all aspects of assigned testing engagements and monitoring activities.

The role requires regular interaction and communication with business personnel. Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of the work performed, and the identification and risk-rating of key process and control gaps identified.

The Senior Testing Analyst will :

• Plan and execute compliance testing programs and communicate compliance testing results
• Identify and document regulatory compliance controls
• Prepare documentation in accordance with established policies and standards
• Budget and be responsible for tracking of work efforts versus budgets
• Develop and execute monitoring activities
• Provide knowledgeable recommendations to businesses for control improvements
• Ensure key regulations and key regulatory changes are captured in assigned testing programs
• Participate in business initiatives as assigned
• Proactively contribute to team processes and projects
• Seek process improvements and more efficient ways to deliver value to our businesses
• Lead testing engagements and review the work of other testers

Job Requirements

• significant controls testing / audit experience is required
• work experience in the financial industry, experience with compliance and wealth-related businesses preferred
• exceptional communication skills with the ability to draft superior quality analyses
• ability to work independently, apply critical and strategic thinking to issues and make timely decisions
• ability to read and interpret regulations as well as understand how the regulations may impact our business partners
• strong problem solving skills and ability to recommend value-added solutions
• strong relationship management skills and ability to work effectively within both enterprise and business level project groups
• strong collaborative skills and experience partnering with business units
• ability to manage multiple deadlines and priorities

Additional Information

• Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)
• Audit or Compliance testing experience required
• CSC / CPH and other relevant industry courses preferred

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.

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 :

N / A.