TD · 5 hours ago
Senior Compliance Business Oversight Analyst
Charlotte, NC
Full-time
Onsite
Senior Level
$72K/yr - $118K/yr
5+ years expTD is one of the world's leading global financial institutions, and they are seeking a Senior Compliance Business Oversight Analyst to support the Fair Banking Compliance department. This role involves managing multiple projects, driving accountability, and delivering actionable reporting while ensuring compliance with regulatory requirements.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Coordinate and monitor multiple compliance related projects, ensuring deliverables, timelines and milestones are met
Develop and maintain project trackers, status dashboards, and executive level updates
Support compliance leadership with oversight of business processes
Ensure project documentation, governance standards and escalation protocols are followed
Design and maintain dashboards and reports in power BI and PowerPoint to track compliance metrics and project progress
Prepare high quality presentations for leadership and governance committees using PowerPoint
Leverage Microsoft Access and SQL to extract, manage and analyze large datasets
Ensure data integrity and accuracy in reporting with the ability to translate findings into actionable insights
Collaborate with cross functional partners including compliance stakeholders , Line of Business and risk partners
Communicate project updates and reporting results effectively to senior management
Provide objective guidance, support and advice to assigned portfolio, business or function to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks
Contribute to the development and implementation of Compliance programs related to all aspects of Compliance laws
Exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to significant regulatory compliance risk matters
Make prudent professional decisions in rendering advice and counsel to business lines or assigned areas, on compliance matters and regulatory risks which may impact performance of the business and overall enterprise strategies and objectives
Provide advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
Research, review and maintain expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws
Act as the primary subject matter expert for regulations applicable to business partners and provide guidance, consultation and expert advice with respect to the business partners' compliance with such regulations directly related to the operations of the business
Create training content and may train business partners on regulatory requirements Advises the business with respect to the implementation of new and amended regulatory requirements
Independently review and utilize discretion, judgement and specialized expertise in approving the documentation for business line use: disclosures; forms; customer-facing correspondence; operating procedures; and policies
Independently perform targeted and periodic monitoring of business activities for compliance with regulatory requirements and regulator expectation
Identify and communicate areas of non-compliance and/or material control weaknesses Responsible for the oversight of business partners' remediation of regulatory issues, including exercising discretion and independent judgment in reviewing and approving remediation action plans
Responsible for assessing regulatory risk associated with new products, services and other initiatives that have significant operational or financial impact
Integrate the broader organizational context into advice and solutions within the Compliance area
Understand the industry, competition and the factors that differentiate the organization
Lead projects of moderately to complex risks and resource requirements; may lead end-to-end processes or functional programs
Contact for business management, external/internal auditors, dealing with non-routine information
Recommend and implement solutions within own area of responsibility
May need to coordinate/integrate work with other areas as needed
Identify and lead problem resolution for complex requirements related issues at all levels
Qualification
Required
Undergraduate degree or equivalent work experience
5+ years of experience
Preferred
Bachelor's degree in Business, Finance, Data Analytics, information systems, or related field (Masters Preferred)
Experience in data analysis, compliance, risk management or business oversight within financial services
Experience with reporting, monitoring, database management and data quality assurance
Experience working in a large complex organization. Proven ability to manage multiple projects simultaneously in a fast-paced environment
Strong skills in power BI, Excel, and PowerPoint for reporting and presentation
Experience with Microsoft Access and SQL for database management and analysis
Excellent organizational, problem solving, and communication skills
Ability to work independently while managing competing priorities
Strong attention to detail with the focus on accuracy and quality
Proactive, results-oriented, and adaptable “go-getter” mindset
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2026-01-24
2026-01-24
Company data provided by crunchbase