TD

Compliance Business Oversight Analyst II

TD

full-time

Posted on:

Location Type: Office

Location: Toronto • Canada

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Salary

💰 CA$69,700 - CA$98,400 per year

About the role

  • Providing independent challenge to first-line business risk owners by conducting independent monitoring activities, specifically as it relates to model compliance risk
  • Executing monitoring work in accordance with established standards to achieve completion within target timelines
  • Working collaboratively with key partners throughout the monitoring oversight engagement
  • Clearly communicating monitoring oversight engagement status updates to the Manager on a regular basis
  • Presenting objective and independent opinion on the adequacy of model compliance risk governance in the businesses
  • Drafting formal monitoring oversight reports to first-line business risk owners, and clearly communicating all noted issues, exceptions and opportunities for process improvements
  • Following up on issues raised from monitoring oversight engagements in accordance with established standards
  • Proactively identifying matters which require additional attention, further escalation, or review, and liaise with the appropriate groups to resolve
  • Ensuring that all work is adequately documented and supported by appropriate documentary evidence (e.g. workpapers, test scripts)
  • Prioritizing and managing own workload to deliver quality results and meet assigned timelines
  • Staying abreast of emerging trends/developments and changes to model compliance risks, regulatory framework, internal policies, and standards

Requirements

  • Minimum 5+ years of testing/monitoring, compliance risk management, governance and control, or audit experience within a regulated financial services
  • Proficient knowledge of compliance testing/monitoring standards, systems, procedures, laws, rules, regulations, reporting and controls
  • Ability to understand law and regulations as they apply to the financial services sector, including Banking, Corporate Office Areas and Insurance
  • Experience in using analytical software tools, data analysis methods and reporting techniques to collect, organize, analyze and interpret complex or technical data is an asset
  • Ability to work independently, think critically and make decisions
  • Consistently delivers high-quality and timely work with attention to detail and a strong sense of ownership and accountability
  • Strong organization skills, with the ability to work in a fast-paced environment and manage multiple deadlines and priorities
  • Skillful communication (written and verbal), negotiation and conflict management skills
  • Excellent analytical skills with the ability to synthesize information into key messages for executive reporting and communications.
  • Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal staff, and collaborating across large organizations
  • Ability to work in a diverse and inclusive workspace
  • Ability to work in a team dynamic
  • Proficient in Word, Excel, PowerPoint, Outlook, Teams, Microsoft Office Suite, Visio, and Power BI
Benefits
  • Health and well-being benefits
  • Savings and retirement programs
  • Paid time off
  • Banking benefits and discounts
  • Career development and training

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
compliance risk managementgovernance and controlaudit experiencecompliance testing standardsdata analysis methodsanalytical software toolsreporting techniquesmodel compliance risk governancemonitoring oversightregulatory framework
Soft skills
critical thinkingdecision makingattention to detailownershipaccountabilityorganization skillscommunication skillsnegotiation skillsconflict managementinterpersonal skills