Senior Governance & Control Analyst

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Governance & Control

Pay Details:

$81,600 - $115,200 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 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:

The Wealth Governance & Control (G&C) team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation – across all Wealth businesses – of all risk, control and governance programs, initiatives, policies, and standards.  

 

Reporting to the Senior Manager, the Analyst will be part of the G&C Risk Control Self Assessment Transformation team. The role's mandate is to execute the internal control testing plan, ensure testing activities are effectively conducted based on the requirements of the 1st and 2nd line functions (e.g., Compliance, Operational Risk Management, AML, etc.) and complete cyclical business process reviews and design. The successful candidate will be expected to independently manage and drive engagements, confidently coordinate and lead business stakeholders and control partners meetings, facilitate discussions, influence outcomes, and support the ongoing enhancement of risk and control processes through process design, process optimization, and continuous improvement practices.

 

Job Responsibilities

Assist in the ongoing adherence of the Enterprise Operational Risk Program (Design and Operating effectiveness of Testing programs, and business process risk and control design review), that will effectively and efficiently detect gaps in internal processes/controls. Responsibilities include:

 

• Understanding and applying sampling methodology in accordance with TD sampling guidelines.
• Conducting ongoing testing of key controls/requirements for all TD Wealth Businesses across all Testing Programs, such as Anti-Money Laundering (AML), Regulatory and Compliance (RCM) control testing, pRCSA Refresh and Quality Control Testing, and other projects and engagements.
• Preparing documentation of testing results, as required by internal operating procedures.
• Ensuring that exceptions are appropriately analyzed, reported, and tracked to resolution.
• Maintaining the Consolidated Repository and producing analytics on consolidated control data reporting.
• Maintaining Control and Process book of records (PowerApps, SNOW) to ensure control information is accurate, complete, and current.
• Assisting TD Wealth Businesses in developing action/remediation plans to address internal control gaps and root cause themes.
• Identifying opportunities to improve processes, realizing efficiencies in testing where possible, and delivering a better testing experience to Wealth Businesses.
• Assisting with performing annual risk assessments of processes based on inherent impact and likelihood.
• Working with business stakeholders to develop or enhance key controls and remediate documentation/process gaps to reduce risks, along with Control Partners Engagement support.
• Contributing to and promoting positive working relationships by effectively communicating and regularly sharing information, issues, learnings, and knowledge with the team.
• Performing other administrative duties as requested by management.
• Identifying opportunities to improve processes, realizing efficiencies in testing where possible, and delivering a better testing experience to Wealth Businesses through process excellence and process redesign methodologies.
• Project management mindset for deliverables

 

Job Requirements

• Undergraduate degree preferred
• 4+ years of relevant experience, including knowledge of governance, risk and control procedures, strategies & tactics
• Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology is an asset
• Understanding of TD Wealth business operations and processes is an asset
• Strong time management, decision making and organization skills
• Knowledge of current and emerging trends
• Experience using analytical software tools, data analysis methods and reporting techniques
• Power Aps, PowerBI, Excel, Word, Powerpoint intermediate to proficient knowledge considered a strong asset
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively, build relationships
• Analyze, research, organize and prioritize work while meeting multiple deadlines
• Ability to process and handle confidential information with discretion

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 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 95,000 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:
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):

Sans Objet