Senior Compliance Governance Analyst (4561)

Work Location:

Toronto Ontario Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$81600 - $115200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by:

• Conducting monitoring and surveillance

• Providing training and education

• Liaising with regulators

• Promoting a compliance culture within the firm

• Taking preventative measures to ensure compliance with the rules and regulations

• Reviewing new business opportunities such as new products or markets from a compliance perspective

Job Description

Data governance reporting and analytics

• Support the design and implementation of data governance and Compliance reporting frameworks (inventory ownership control design/monitoring data quality themes escalation paths).

• Partner with Technology and Data teams to document end-to-end data processes define controls/requirements and embed governance into BAU and change initiatives.

• Develop and maintain Compliance MI (management information) and dashboards for governance metrics trends and performance indicators.

• Improve reporting infrastructure by standardizing definitions streamlining data sourcing/validation and reducing manual reconciliations.

Issue management & remediation

• Support issue intake triage tracking and reporting for Compliance and control-related issues (including action plans milestones dependencies and evidence).

• Produce and maintain issue dashboards (status aging themes risk indicators) and prepare concise stakeholder updates for leadership and governance forums.

• Coordinate with cross-functional owners to ensure remediation plans are documented monitored and escalated appropriately where timelines/risks change.

• Identify common root causes and propose process/control improvements to prevent recurrence.

Broader data process involvement / initiatives delivery

• Manage multiple concurrent initiatives/workstreams maintaining timelines RAID (risks assumptions issues decisions) dependencies and deliverables.

• Facilitate working sessions with stakeholders; document decisions actions and outcomes; track follow-ups to closure.

• Draft clear concise materials for senior stakeholders (updates KPIs risks decisions required) with a Compliance lens.

• Identify opportunities to automate repeatable manual processes and improve control effectiveness through pragmatic enhancements.

EUC governance (End User Computing)

• Support end-to-end EUC lifecycle management activities: identification/intake inventory completeness risk assessment support controls alignment and retirement/decommission planning where applicable.

• Help develop playbooks templates and reporting to monitor EUC compliance status control gaps and remediation progress.

• Partner with EUC owners/operators and Technology to reduce EUC risk through strengthened controls improved documentation and migration/automation options where feasible.

Job Requirements

• 5 years of experience in Compliance and/or risk management (governance controls monitoring/testing remediation or regulatory program support) within a financial institution.

• Demonstrated experience delivering Compliance enablement initiatives involving reporting analytics governance or control/process improvement in a regulated environment.

• Strong hands-on capability with data analysis and reporting tools: advanced Excel (pivoting Power Query complex formulas; VBA/macros an asset) and BI tools (Tableau and/or Power BI).

• Proven ability to work effectively with Technology and Data partners (requirements sourcing validation controls) and translate stakeholder needs into practical deliverables.

• Strong organization and execution skills with the ability to manage competing priorities tight timelines and multiple stakeholders.

• Excellent written and verbal communication skills with the ability to summarize complex topics into clear decision-ready updates.

• Nice to have SQL and/or automation experience (e.g. Power Automate Python) to reduce manual workflows.

• Familiarity with issue management tooling/ways of working (e.g. ServiceNow JIRA/Confluence Agile delivery)

Education and Accreditation

• University degree

• Minimum 5 years compliance experience within a financial institution or bank-owned dealer

Who We Are:

TD is one of the worlds 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 95000 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
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:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well 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 youd 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 (Quebec only):

Sans Objet

Required Experience:

Senior IC

Employment Type : Full-Time
Experience: years
Vacancy: 1
Monthly Salary Salary: 81600 - 115200