Regulatory Issue Management Lead, Compliance
TD
Senior Compliance Analyst – Regulatory Issue Management
TD
full-time
Posted on:
Origin: • 🇺🇸 United States
Visit company websiteSalary
💰 $68,640 - $112,320 per year
Job Level
Senior
About the role
- Supports the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process
- Supports the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action
- Works with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and support definition of remediation plans
- Supports timely completion of impact assessment and root cause analysis in line with program standards for identified regulatory issues
- Articulates compliance risks to line of business stakeholders and understands key risk concepts and their relevance to core business practices
- Evaluates control design and operating effectiveness
- Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function
- Coordinates requests to and from business partners and coordinates tracking and reporting of Compliance function initiatives and programs
- Prepares and delivers summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
- Recommends responses to enterprise Compliance Program questions and escalates sensitive issues
- Analyzes data and draw conclusions to meet program health reporting requirements
- Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements
Requirements
- Undergraduate degree or equivalent work experience
- 5+ years of experience
- 3+ years of relevant experience
- Experience with developing and implementing risk management frameworks and programs (CRA, RCSA, issue management, controls management, monitoring & testing, program effectiveness assessments, governance of compliance documentation)
- Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management
- Excellent written, verbal and analytical skills
- Proficiency in project management skills overseeing multiple concurrent workstreams
- Advanced proficiency in desktop tools including Microsoft Office Suite
- Ability to work collaboratively with cross functional partners across the three lines of defense
- Ability to navigate a complex organization
- Possesses professional maturity and awareness for prioritization and escalation
- Ability to perform advanced analysis and specialized reporting
- Comfortable with ambiguity and adaptable in dynamic environments
