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Compliance Quality Assurance Senior Analyst (US)
Charlotte Staffing
- United States
- United States
About
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: $72,280 - $117,520 USD 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. Why Work with Us?
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization. Department Overview
The Compliance Quality Assurance (US) team is responsible for providing independent quality assurance of compliance risk through the execution of reviews. These reviews assess whether Risk Owners and Oversight functions are complying with established policies, standards and procedures. The Compliance Quality Assurance Senior Analyst will execute these reviews. This role will play a key role in providing strategic guidance that reshapes Compliance's structures and processes. We're counted on to provide recommendations to enhance operational performance, foster meaningful process improvements and ensure adherence to internal policies, standards and procedures. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused Compliance Quality Assurance function. This is not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization. Job Description Summary
The Senior Compliance Testing Analyst executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes. May assume leadership of a part of the engagement and have responsibility for completion of a phase of the engagement. Depth & Scope
Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters. Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws. Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners' compliance with such regulations directly related to the operations of the business. Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines. Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management. Oversees and/or independently performs assigned work from end to end. Executes more complex and/or non-standard assignments as requested. Education & Experience
Undergraduate degree or equivalent work experience 5+ years of experience Desired Skills & Experience
CPA, CIA, CFE, CRCM or equivalent a plus 5+ years of internal audit and/or testing experience Knowledge of financial institution laws/regulations, strategies and risk management/compliance programs Possesses and demonstrates expertise in the advisory of policy, change management, project management and operations Skilled in using computer applications including MS Office suite, with a focus on Excel and PowerPoint High personal and professional integrity and standards to advance TD's vision and protect the brand Strategic critical thinker: has good judgment, achieves the right risk/reward balance Delivers on objectives, focuses on what matters and can work across silos to build effective working relationships Clear and concise verbal and written communication skills Customer Accountabilities
Executes testing engagement work in accordance with established standards to achieve completion within target timelines Conducts skilled analytical research and analysis as part of the testing engagement and initiatives Works collaboratively with key Compliance and business line partners throughout the testing engagement Identifies potential errors following testing standards Executes validation of findings raised from testing engagements in accordance with established standards Proactively identifies matters which require additional attention, further escalation, or review Shareholder Accountabilities
Prioritizes and manages own workload to deliver quality results and meet assigned timelines Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement Clearly and concisely documents research as required to understand requirements specific to an engagement Keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to the client Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Employee/Team Accountabilities
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques Participates in personal performance management and development activities, including cross training within own team Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences, and leveraging best practices. May provide coaching to other team members as appropriate Leads, motivates, and develops relationships with internal and external business partners/stakeholders to develop productive working relationships Contributes to a fair, positive and equitable environment that supports a diverse workforce Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally Physical Requirements
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel Occasional International Travel Never Performing sedentary work Continuous Performing multiple tasks Continuous Operating standard office equipment - Continuous Responding quickly to sounds Occasional Sitting Continuous Standing Occasional Walking Occasional Moving safely in confined spaces Occasional Lifting/Carrying (under 25 lbs.) Occasional Lifting/Carrying (over 25 lbs.) Never Squatting Occasional Bending Occasional Kneeling Never Crawling Never Climbing Never Reaching overhead Never Reaching forward Occasional Pushing Never Pulling Never Twisting Never Concentrating for long periods of time Continuous Applying common sense to deal with problems involving standardized situations Continuous Reading, writing and comprehending instructions Continuous Adding, subtracting, multiplying and dividing Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. 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
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