Compliance Risk Assessment Senior Associate
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Key skills for this role
About the Role
TD Bank seeks a Senior Associate to support the U.S. Compliance Risk Assessment program.
Key Skills for This Role
Responsibilities
- Support the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
- Support the management of the Compliance Risk Assessment framework to ensure applicable regulatory compliance risks and internal controls are identified and assessed.
- Support the facilitation of the Compliance Risk Assessment and manage the assessment process, including ensuring timely and quality completion.
- Support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans.
- Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge.
- Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team.
- Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework.
Requirements
- Undergraduate degree or equivalent work experience
- 5+ years of experience
- Minimum 5 years of prior regulatory, compliance, and/or risk management experience
- Familiarity with conducting a Compliance Risk Assessment preferred
- Experience working with top tier banks in large scale, cross functional regulatory remediation
- Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities, and wealth management
- Excellent written, verbal and analytical skills
- Highly motivated, strong attention to detail, team oriented, organized
- Strong interpersonal and presentation skills
- Ability to work collaboratively with cross functional partners
- Advanced proficiency in Microsoft Office Suite
Full Job Posting
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.
- The ideal candidate will thrive in a fast paced, start up like setting as we build a new compliance structure.
Role Description
- Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
- Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed.
- Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion.
- Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans.
- Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge.
- Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team.
- Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework.
Education & Experience
- Undergraduate degree or equivalent work experience
- 5+ years of experience
Desired Skills & Experience
- Minimum of 5 years of prior regulatory, compliance, and/or risk management experience
- Familiarity with conducting a Compliance Risk Assessment preferred
- Experience working with top tier banks in large scale, cross functional regulatory remediation
- Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities, and wealth management
- Excellent written, verbal and analytical skills
- Highly motivated, strong attention to detail, team oriented, organized
- Strong interpersonal and presentation skills
- Ability to work collaboratively with cross functional partners
- Advanced proficiency in Microsoft Office Suite
Pay Details
- $72,280 $117,520 USD per year
Total Rewards Package
- Base salary and variable compensation/incentive awards
- Health and well being benefits
- Savings and retirement programs
- Paid time off (Vacation PTO, Flex PTO, Holiday PTO)
- Banking benefits and discounts
- Career development and reward and recognition
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