TD

Senior Compliance Business Oversight Analyst - US

TD

full-time

Posted on:

Origin:  • 🇺🇸 United States

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Salary

💰 $68,640 - $112,320 per year

Job Level

Senior

Tech Stack

Tableau

About the role

  • The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice to assigned portfolio, business or function to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks.\n
  • This role contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws.\n
  • Expected to exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to significant regulatory compliance risk matters.\n
  • Empowers to make prudent professional decisions in rendering advice and counsel to business lines or assigned areas, on compliance matters and regulatory risks which may impact performance of the business and overall enterprise strategies and objectives.\n
  • Acts as the primary subject matter expert for regulations applicable to business partners and provides guidance, consultation and expert advice with respect to the business partners' compliance with such regulations directly related to the operations of the business.\n
  • Creates training content and may train business partners on regulatory requirements.\n
  • Advises the business with respect to the implementation of new and amended regulatory requirements.\n
  • Independently reviews and utilizes discretion, judgement and specialized expertise in approving the documentation for business line use: disclosures; forms; customer-facing correspondence; operating procedures; and policies.\n
  • Independently performs targeted and periodic monitoring of business activities for compliance with regulatory requirements and regulator expectation.\n
  • Identifies and communicates areas of non-compliance and/or material control weaknesses.\n
  • Responsible for the oversight of business partners' remediation of regulatory issues, including exercising discretion and independent judgment in reviewing and approving remediation action plans.\n
  • Responsible for assessing regulatory risk associated with new products, services and other initiatives that have significant operational or financial impact.\n
  • Integrates the broader organizational context into advice and solutions within the Compliance area.\n
  • Understands the industry, competition and the factors that differentiate the organization.\n
  • Leads projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs.\n
  • Contact for business management, external/internal auditors, dealing with non-routine information.\n
  • Recommends and implements solutions within own area of responsibility.\n
  • May need to coordinate/integrate work with other areas as needed.\n
  • Identifies and leads problem resolution for complex requirements related issues at all levels.

Requirements

  • Undergraduate degree or equivalent work experience\n
  • 5+ years of experience\n
  • Fair Banking experience\n
  • Knowledge of fair lending laws and regulations and UDAAP principals\n
  • Proficient in data analysis tools, including Tableau and Excel