Senior Analyst, Governance and Control

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Pay Details:

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 candidate's 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

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to oversee the design, implementation, maintenance, and monitoring of effective internal controls to ensure business activities remain within TD Bank's risk appetite and comply with regulatory requirements.

The team is responsible for overseeing the timely and consistent implementation – across all TDS businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement Enterprise and TDS policies, frameworks, methodologies, standards, and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the Senior Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C, is to support TDS businesses in adhering to applicable Financial Crimes Risk Management (FCRM) and fraud requirements, managing this risk, and ensuring effective FCRM and fraud controls in place.  This role works in partnership with other G&C teams, TDS businesses, and risk partners, to contribute to the ongoing management of FCRM and fraud risk. 

As part of the key accountabilities of the role, the individual will be expected to:

• Support the execution of the AML and Anti-Bribery and Corruption (ABAC) Risk assessments, including provision of data, inherent risk documentation, and control documentation. This includes the automation of data input.

• Execute testing of key controls within established deadlines, applying TD testing methodology.

• Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution. Further, assist TDS Businesses in developing and executing action/remediation plans to address control gaps as well as the root cause themes.

• Build and maintain constructive relationships with FCRM and fraud risk partners as well as other key stakeholders to ensure FCRM and fraud requirements are understood and met.

• Identify and escalate (as required) key FCRM and fraud issues and risks to the Manager.

• Assist with ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines.

• Support G&C executive reporting on the overall status of programs.

• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.

Job Requirements

• University or Post-Graduate degree; compliance/auditing/risk management designation would be considered an asset.

• Minimum 2 years of AML, Risk, and/or Audit experience (financial services industry preferred).

• Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology.

• Strong interpersonal and relationship management skills.

• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.

• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.

• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.

• Ability to take initiative and work independently and in a team environment.

Who We Are:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple.  Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. 

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:
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.

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 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. 

If you’re 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.  

We're 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 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 (Quebec only):