TD Bank
Compliance Quality Assurance Senior Analyst (US)
TD Bank, Charlotte, North Carolina, United States, 28245
* 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* Undergraduate degree or equivalent work experience* 5+ years of 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* 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* 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* 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 – ContinuousWe’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.
**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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
**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.**Our Values**
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.
**Our Commitment to Diversity, Equity, and Inclusion**
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
**Helping to Make an Impact in Communities – TD Ready Commitment**
TD has a long-standing commitment to help drive #J-18808-Ljbffr
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* 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 – ContinuousWe’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.
**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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
**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.**Our Values**
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.
**Our Commitment to Diversity, Equity, and Inclusion**
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
**Helping to Make an Impact in Communities – TD Ready Commitment**
TD has a long-standing commitment to help drive #J-18808-Ljbffr