US Compliance - Regulatory Issue Management Senior Analyst
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Key skills for this role
About the Role
TD Bank seeks a Senior Analyst for US Compliance Regulatory Issue Management to support identification, assessment, and remediation of compliance risks. The role requires 5+ years of experience and expertise in risk management frameworks.
Key Skills for This Role
Responsibilities
- Supports the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process
- Supports the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action
- Supports the timely completion of impact assessment and root cause analysis in line with program standards for identified regulatory issues
- Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function
- Prepares and delivers summaries, communications, reports and presentations for management, regulators, and other stakeholders
- Analyzes data and draw conclusions to meet program health reporting requirements
- Proactively identifies matters requiring additional review, escalation, and liaises with appropriate staff to resolve
Requirements
- Undergraduate degree or equivalent work experience
- 5+ years of experience
- 3+ years of relevant experience in compliance risk management
- Experience with developing and implementing risk management frameworks such as CRA, RCSA, issue management, controls management
- Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities, and wealth management
- Excellent written, verbal and analytical skills
Full Job Posting
Job Description
- The US Compliance – Regulatory Issue Management Senior Analyst supports the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process.
- Supports the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action.
Key Responsibilities
- Supports the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process.
- Supports the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action.
- Has prior experience working with lines of business stakeholders to develop a culture that fosters self identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks.
- Supports the timely completion of impact assessment and root cause analysis in line with program standards for identified regulatory issues.
- Is Proficient in articulation of compliance risks to line of business stakeholders and understands key risk concepts and their relevance to core business practices.
- Has familiarity with evaluation of control design and operating effectiveness.
Education & Experience
- Undergraduate degree or equivalent work experience
- 5+ years of experience
- 3+ years of relevant experience
- Experience with developing and implementing risk management frameworks and programs, such as Compliance Risk Assessment (CRA), Risk Control Self Assessment (RCSA), issue management, controls management, monitoring & testing, program effectiveness assessments, governance of compliance documentation
- Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker dealer), and wealth management
- Excellent written, verbal and analytical skills
- Proficiency in project management skills overseeing multiple concurrent workstreams
Pay Details
- $72,280 $117,520 USD
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