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TD · 1 day ago

Senior Compliance Testing Analyst (US)

Charlotte, NC

Full-time

Onsite

Senior Level

$72K/yr - $108K/yr

5+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Senior Compliance Testing Analyst to execute independent testing and validations related to regulatory compliance. The role involves managing day-to-day operations while helping design and implement a forward-thinking compliance program for the future.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

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

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

Executing independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes

Assuming leadership of a part of the engagement and have responsibility for completion of a phase of the engagement

Exercising 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 researching, reviewing, and maintaining expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws

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

Working independently to learn regulatory requirements tied to business units assigned for review, helping develop test steps to test the business line against these regulatory requirements, performing complex analysis/testing of the business line controls/processes, summarizing the results of testing, and analyzing the results to identify areas of improvement to be discussed with the business lines

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

Overseeing and/or independently performing assigned work from end to end

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

Executing testing engagement work in accordance with established standards to achieve completion within target timelines

Conducting skilled analytical research and analysis as part of the testing engagement and initiatives

Working collaboratively with key Compliance and business line partners throughout the testing engagement

Identifying potential errors following testing standards

Executing validation of findings raised from testing engagements in accordance with established standards

Proactively identifying matters which require additional attention, further escalation, or review

Prioritizing and managing own workload to deliver quality results and meet assigned timelines

Contributing to the analysis, due diligence, and implementation of initiatives within defined area of responsibility

Adhering to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System

Understanding the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement

Clearly and concisely documenting research as required to understand requirements specific to an engagement

Keeping abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards

Providing analysis on issues and effectively communicating results to Compliance Testing management and assisting management in communicating results to the client

Maintaining a culture of risk management and control, supported by effective processes in alignment with risk appetite

Participating fully as a member of the team, supporting a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest

Providing thought leadership and/or industry knowledge for own area of expertise in own area and participating in knowledge transfer within the team and business unit

Keeping current on emerging trends/developments and growing knowledge of the business, related tools and techniques

Participating in personal performance management and development activities, including cross training within own team

Keeping others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities

Contributing to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences, and leveraging best practices. May provide coaching to other team members as appropriate

Leading, motivating, and developing relationships with internal and external business partners/stakeholders to develop productive working relationships

Contributing to a fair, positive and equitable environment that supports a diverse workforce

Acting as a brand ambassador for your business area/function and the bank, both internally and/or externally

Qualification

Regulatory complianceTestingValidationAnalytical researchMicrosoft OfficeProject managementCommunication skillsDetail orientedOrganizational skillsTime management