TD
Compliance Risk Assessment Senior Associate
Location: New York, New York, United States
Hours: 40
Pay Details: $68,640 - $112,320 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.
Line Of Business
Conformité Job Description Department Overview: Why Work with Us? At TD Bank US Compliance, we are building a more resilient and scalable compliance risk management function. You’ll help reshape compliance structures and processes and drive innovation. This role offers the opportunity to contribute to a culture of compliance across the organization. The Ideal Candidate The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. You’ll be strategic, tactical, collaborative and creative, managing day-to-day operations while helping design and implement a forward-thinking compliance program. An entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic environment are essential. We’re seeking someone who is curious, eager to learn, and able to build from the ground up. At TD Bank you’ll help shape the future of the bank while collaborating with a team dedicated to industry-leading standards. 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 identify and assess applicable regulatory compliance risks and internal controls to determine risk profiles for in-scope laws/regulations across businesses and entities. Supports the facilitation of the Compliance Risk Assessment and manages the assessment process to ensure timely, high-quality completion through lifecycle stages. Where necessary, supports Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans. Supports review of aggregated results, identifies deviations, quality deficiencies and potential points of challenge. Supports program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team. Assists with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework. Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services; applies a risk management mindset to identify and mitigate risk. 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 Experience with large-scale regulatory remediation in top-tier banks Knowledge of laws and regulations related to consumer and commercial banking, securities, and wealth management Excellent written, verbal and analytical skills Strong attention to detail, team orientation, and organization Strong interpersonal and presentation skills with the ability to convey complex problems clearly Ability to collaborate with cross-functional partners across the three lines of defense Advanced proficiency in Microsoft Office Suite Customer Accountabilities Provide compliance research, evaluation, operational, reporting and analytical support Coordinate requests to and from compliance partners and track/report program initiatives Prepare and deliver summaries, communications, and presentations for management, regulators, and stakeholders Recommend responses to enterprise program questions and escalate sensitive issues as needed Analyze data to meet program health reporting requirements Identify regulatory trends and provide recommendations to address gaps and enhancements Proactively identify issues requiring review and escalation Shareholder Accountabilities Contribute to assigned activities and adhere to enterprise frameworks Exercise discretion in handling confidential information; escalate as appropriate Stay informed on trends and evolving regulatory requirements Maintain a culture of risk management and control in line with risk appetite Lead small-scale projects or act as SME where applicable Physical Requirements Domestic Travel – Occasional International Travel – Never Performing sedentary work – Continuous Concentrating for long periods – Continuous Reading, writing and comprehending instructions – Continuous Mathematical calculations – Continuous Who We Are TD is a global financial institution focused on customer experience and responsible growth. We are committed to equal opportunity employment and support a diverse workforce. Our Total Rewards Package Base salary and incentives plus benefits including health, savings/retirement, paid time off, and career development opportunities. Learn more when you apply. Accommodation TD Bank is an equal opportunity employer. If you require accommodations during the application process, contact us at the provided email address.
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Conformité Job Description Department Overview: Why Work with Us? At TD Bank US Compliance, we are building a more resilient and scalable compliance risk management function. You’ll help reshape compliance structures and processes and drive innovation. This role offers the opportunity to contribute to a culture of compliance across the organization. The Ideal Candidate The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. You’ll be strategic, tactical, collaborative and creative, managing day-to-day operations while helping design and implement a forward-thinking compliance program. An entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic environment are essential. We’re seeking someone who is curious, eager to learn, and able to build from the ground up. At TD Bank you’ll help shape the future of the bank while collaborating with a team dedicated to industry-leading standards. 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 identify and assess applicable regulatory compliance risks and internal controls to determine risk profiles for in-scope laws/regulations across businesses and entities. Supports the facilitation of the Compliance Risk Assessment and manages the assessment process to ensure timely, high-quality completion through lifecycle stages. Where necessary, supports Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans. Supports review of aggregated results, identifies deviations, quality deficiencies and potential points of challenge. Supports program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team. Assists with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework. Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services; applies a risk management mindset to identify and mitigate risk. 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 Experience with large-scale regulatory remediation in top-tier banks Knowledge of laws and regulations related to consumer and commercial banking, securities, and wealth management Excellent written, verbal and analytical skills Strong attention to detail, team orientation, and organization Strong interpersonal and presentation skills with the ability to convey complex problems clearly Ability to collaborate with cross-functional partners across the three lines of defense Advanced proficiency in Microsoft Office Suite Customer Accountabilities Provide compliance research, evaluation, operational, reporting and analytical support Coordinate requests to and from compliance partners and track/report program initiatives Prepare and deliver summaries, communications, and presentations for management, regulators, and stakeholders Recommend responses to enterprise program questions and escalate sensitive issues as needed Analyze data to meet program health reporting requirements Identify regulatory trends and provide recommendations to address gaps and enhancements Proactively identify issues requiring review and escalation Shareholder Accountabilities Contribute to assigned activities and adhere to enterprise frameworks Exercise discretion in handling confidential information; escalate as appropriate Stay informed on trends and evolving regulatory requirements Maintain a culture of risk management and control in line with risk appetite Lead small-scale projects or act as SME where applicable Physical Requirements Domestic Travel – Occasional International Travel – Never Performing sedentary work – Continuous Concentrating for long periods – Continuous Reading, writing and comprehending instructions – Continuous Mathematical calculations – Continuous Who We Are TD is a global financial institution focused on customer experience and responsible growth. We are committed to equal opportunity employment and support a diverse workforce. Our Total Rewards Package Base salary and incentives plus benefits including health, savings/retirement, paid time off, and career development opportunities. Learn more when you apply. Accommodation TD Bank is an equal opportunity employer. If you require accommodations during the application process, contact us at the provided email address.
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