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TD · 2 days ago

Senior Compliance Testing Analyst (US)

Greenville Campus Building B - 200 Carolina Point Parkway, Greenville, South Carolina

Full-time

Onsite

Senior Level

$72K/yr - $108K/yr

5+ years exp

TD Bank is one of the world's leading global financial institutions and is the fifth largest bank in North America. The Senior Compliance Testing Analyst executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

The Senior Compliance Testing Analyst is responsible for executing independent testing and validations as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Monitoring and Testing's approved testing and validation methodology

This individual will be primarily responsible for performing issue validations as part of a larger testing and validation team but will also serve in a cross functional capacity to assist in testing when needed

Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters

Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws

Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners' compliance with such regulations directly related to the operations of the business

Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines

Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management

Oversees and/or independently performs assigned work from end to end

Executes more complex and/or non-standard assignments as requested

Qualification

Regulatory complianceTestingValidationAudit experienceAnalytical skillsMicrosoft OfficeProject managementCommunication skillsOrganizational skillsTime managementTeam collaboration