Senior Compliance Analyst – Regulatory Issue Management
TD
Compliance Manager – Regulatory Issue Management
TD
full-time
Posted on:
Origin: • 🇺🇸 United States
Visit company websiteSalary
💰 $86,840 - $139,360 per year
Job Level
SeniorLead
About the role
- Manage identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process
- Manage governance, reporting insights, oversight and follow-through to ensure identified issues receive appropriate management, remediation and corrective action
- Work with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and support remediation planning
- Ensure timely completion of impact assessment and root cause analysis and adherence to program standards for identified regulatory issues
- Recognize opportunities to implement key risk management practices and procedures in normal course of business operations
- Engage in high-level discussions of compliance risks with line of business stakeholders and explain key risk concepts
- Lead development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards, procedures, awareness and specialized training, monitoring, reporting and escalation of issues and events
- Provide governance oversight through policy and training exemption governance and reporting processes to senior Compliance leadership
- Prepare summaries, presentations, briefing notes, and required documentation to report on status of the Compliance program
- Assist Compliance team members in use of Issues and Events system and deliver subject matter expertise and Compliance advice to business partners
- Participate in and support regulatory examinations and external/internal audits; review, package and provide information for executives
- Conduct research, analysis, and assessment of Compliance program activities and recommend improvements
- Lead/facilitate and implement actions/remediation plans to address performance, risk, and governance issues
- Maintain a culture of risk management and control aligned with risk appetite
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Experience developing and implementing risk management frameworks and programs (Compliance Risk Assessment (CRA), Risk Control Self-Assessment (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
- Prior experience working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and support the definition of remediation plans
- Ability to recognize opportunities to implement key risk management practices and procedures in the normal course of business operations
- Familiarity with evaluation of control design and operating effectiveness
- Excellent written, verbal and analytical skills
- Proficiency in project management skills overseeing multiple concurrent workstreams
- Advanced proficiency in desktop tools including Microsoft Office Suite
- Strong presentation skills with the ability to articulate complex problems and influence senior-level stakeholders
- Ability to work collaboratively with cross-functional partners across the three lines of defense
- Ability to navigate a complex organization, prioritize competing priorities, and exercise sound judgment
- Highly motivated, strong attention to detail, team oriented, organized
