Senior Compliance Analyst – Regulatory Issue Management
TD
Senior Associate, Compliance Risk Assessment
TD
full-time
Posted on:
Origin: • 🇺🇸 United States
Visit company websiteSalary
💰 $68,640 - $112,320 per year
Job Level
Senior
About the role
- Support the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment
- Support management of the Compliance Risk Assessment framework to ensure applicable regulatory compliance risks and internal controls are identified and assessed
- Facilitate the Compliance Risk Assessment and manage the assessment process, ensuring timely and quality completion through lifecycle stages
- Support Oversight Functions and covered businesses with defining and logging regulatory issues and remedial action plans where necessary
- Review aggregated results, identify methodology deviations, quality deficiencies and potential points of challenge
- Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
- Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
- Provide responses to regulatory agencies and Internal Audit and act as subject matter expert for certain Compliance Program elements
- Execute complex/non-standard requests, research and investigate operational/reporting/process issues, and provide recommendations to senior management
- Prepare and deliver summaries, communications, reports and presentations for management, regulators, and other stakeholders
- Coordinate/integrate work with other areas and may lead work streams as project lead/subject matter expert
Requirements
- Undergraduate degree or equivalent work experience
- 5+ years of experience (minimum of 5 years of prior regulatory, compliance, and/or risk management experience)
- Familiarity with conducting a Compliance Risk Assessment preferred
- Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve)
- Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
- Experience working with top tier banks in large scale, cross-functional regulatory remediation
- Risk management/internal control mindset to apply and assess risk identification/mitigation
- Excellent written, verbal and analytical skills
- Highly motivated, strong attention to detail, team oriented, organized
- Strong interpersonal and presentation skills
- Ability to work collaboratively with cross-functional partners across the three lines of defense
- Demonstrates advanced proficiency in desktop tools including Microsoft Office Suite
