Compliance

• The Senior Audit Manager is a senior-level leader within the U.S. Compliance Internal Audit function, managing a team of audit professionals and providing specialized in-depth subject matter expertise with respect to US Consumer Compliance Regulations (e.g. UDAAP, ECOA, TILA, HMDA, RESPA, EFTA).
• In addition to overseeing multiple, complex audit engagements and issue validations, the Senior Audit Manager directly manages a team of 4-5 auditors, providing guidance and development for team member and overall team growth.
• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required.
• Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope.
• Strategic advisor to leadership team on the management of the portfolio and financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management/enterprise areas.
• Facilitates key strategic audit discussions and provide thought leadership to executives.
• Sets operational team direction and collaborate with others to execute on common goals.
• Focuses on long term planning for functional area.

Senior Audit Group Manager – Compliance

General Counsel

• Develop and revise appropriate legal strategy for questioning, investigation, handling and trial of cases.
• Communicate with TD Insurance analysts and insured clients, as appropriate.
• Conduct necessary and appropriate Questionings, applications, trials, and mediations.
• Research the law applicable to cases or matters.
• Draft legal documents, pleadings, applications and legal factums as required.
• Remain current with developments in the law.

Counsel II

IT Support

• Lead requirements management on project(s)
• Plan, manage, lead and oversee end-to-end delivery of requirements throughout the project lifecycle
• Monitor project progress by tracking activity and resolving problems
• Prepare technical reports by collecting, analyzing, and summarizing information and trends
• Ensure full requirements traceability and prioritize requirements and scope changes

IT Manager – Development

Security Analyst

• Define, develop and/or implement Technology Controls / Information Security related policies and programs
• Provide specialized expertise and guidance on assessing risks and security solutions
• Participate on projects of moderate to high complexity and provide reporting, analysis, and assessments
• Support the Threat Intelligence mission providing timely, actionable, and relevant intelligence
• Maintain a holistic view of the threat landscape for cyber, physical, and geopolitical threats
• Conduct research across deep and dark web, OSINT, and vendor sources for threat investigation
• Author and review intelligence products for stakeholders and operational personnel
• Provide subject matter expertise on emerging threats relevant to TD and the financial sector
• Proactively review internal processes to identify opportunities for improvement
• Develop and deliver threat briefings on key threats to the financial sector.

Senior Threat Intelligence Analyst

Financial Crime

• Support the development and management of Customer Risk Rating (CRR) Framework Documentation and Methodologies.
• Maintain and enhance customer risk rating methodologies to ensure alignment with regulatory expectations and enterprise standards.
• Conduct periodic reviews, validate data integrity, and coordinate updates with business partners.
• Support periodic control testing, effectiveness reviews and data quality assessments to ensure adherence to CRR standards.
• Develop and maintain TD’s AML/ATF/Sanctions/ABAC programs, including frameworks, methodologies, policies, standards, procedures, and specialized training.
• Conduct periodic and event driven reviews of customers to assess risks.

Financial Crime Risk Specialist – Customer Risk Analysis, Data Framework

Security Engineer

• Leads and manages a physical security team
• Reviews protection of organizational assets across TD locations
• Designs and delivers training on security best practices
• Acts as primary contact for law enforcement collaboration
• Provides people management leadership and development

Group Manager, Global Security

• Provides specialized expertise to help guide the planning, risk assessment, and execution of audits.
• Plays an essential part in shaping the strategic direction of the audit function, while fostering alignment with enterprise risk frameworks and supporting the broader audit strategy.
• Leads and/or provides supervisory oversight to complex audits and ensures completion.
• Works autonomously and accountable for acting as a lead within a specialized audit practice area and provides work direction to others.
• Undertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross-functional processes within own area of expertise.
• May oversee and/or independently perform concurrent multiple audits and related tasks from end to end.

Audit Manager II – Financial Crimes – Risk Assessment – AML/Sanctions/Insider Risk

Analyst

• Provide specialized business governance and control guidance and support
• Implement policies/processes to meet business governance objectives
• Lead complex reporting, analysis, testing and assessments
• Manage a set of business governance and control work activities
• Contribute to setting standards within area of expertise

Senior G&C Analyst – Business Continuity Planning

• Conduct investigations of moderate complexity for both internal and external cases
• Recommend account actions like demarket or freezing accounts
• Analyze case file information for AML and financial crime investigations
• Prepare training on AML and financial crime detection for staff
• Lead workstreams and manage risks associated with financial operations

Financial Crime Risk Investigator II – OneTouch

Manager

• Manage day-to-day supervisory, compliance, and operational aspects of the business
• Partner with Wealth Market Leader(s) to lead and develop supported Market(s)
• Implement business and firmwide control and operational excellence initiatives
• Ensure compliance with timely responses and completions of required trainings
• Address and resolve escalated Supervisory inquiries
• Participate in New Hire interview process with focus on Compliance, Control, Supervisory and Operational concerns
• Assist in resolution of customer complaints

Market Supervision Manager

QA Engineer

• Work with the Agile team on test planning, test preparation and test execution activities in adherence to standards for system testing
• Create quality Manual and Automation test scripts using tools like Selenium/Java, Rest assured/Parasoft SOA test
• Pro-actively look to make continuous improvements to test coverage, execution and automation
• Implement quality engineering best practices within projects
• Identify automation goals, current status and improvement and communicate with all stakeholders

Quality Engineer I

• Provide support for money laundering detection activities
• Review transactions and other processing activities
• Investigate and identify risk issues or process gaps

Financial Crime Risk Investigations Support Officer I

Customer Support

• Process financial transactions like deposits, withdrawals, and bill payments as per standardized operating procedures, industry regulations and TD's Code of Conduct and Ethics
• Understand and determine customer needs to recommend solutions specific to those needs while exercising discretion in confidential matters
• Respond and resolve customers' concerns using standard procedures and escalating non-standard activities, as necessary
• Achieve assigned goals and business objectives by promoting banking solutions and completing business processes in a timely and accurate manner
• Connect personally with customers to advise them appropriately and clearly on banking solutions and processes
• Help build a positive, diverse and equitable work environment by promoting team effectiveness as well as participating in personal performance development
• Assist the team by respecting coworkers, staying dedicated, and keeping everyone up-to-date on the status of routine activities
• Deliver quality customer experiences and recommend operational improvements where opportunity exists to improve and achieve operational excellence

Customer Experience Associate

Sales

• Responsible for obtaining mortgage business volume nationally from independent brokerage firms
• Fielding broker inquiries and prospecting new business
• Contacting clients and influencing business placed at TD
• Maintaining a proper database management and regular email communication with current industry knowledge and product updates
• Qualify new broker firms and brokers
• Prepare a Marketing Sales Plan, including annual and quarterly goals, and volume forecasting

Regional Sales Manager

• Process financial transactions like deposits, withdrawals, and bill payments
• Understand and determine customer needs to recommend banking solutions
• Respond and resolve customers' concerns
• Achieve assigned goals and business objectives by promoting banking solutions
• Connect personally with customers to advise them appropriately
• Help build a positive, diverse, and equitable work environment
• Deliver quality customer experiences and recommend operational improvements