TD · 7 hours ago
Senior Compliance Business Oversight Analyst
Charlotte, NC
Full-time
Hybrid
Mid, Senior Level
$72K/yr - $118K/yr
5+ years expTD is one of the world's leading global financial institutions and is committed to building a more resilient compliance risk management function. The Senior Compliance Business Oversight Analyst will manage multiple compliance-related projects, ensuring effective oversight and governance while driving accountability and delivering clear reporting.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Project oversight and tracking
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
Expected to 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
Empowered to 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
Expert level professional role requiring in-depth knowledge/expertise in Compliance and working knowledge of broader related areas Provides 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
Acts as the primary subject matter expert for regulations applicable to business partners and provides guidance, consultation and expert advice with respect to the business partners' compliance with such regulations directly related to the operations of the business
Creates 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 reviews and utilizes discretion, judgement and specialized expertise in approving the documentation for business line use: disclosures; forms; customer-facing correspondence; operating procedures; and policies
Independently performs targeted and periodic monitoring of business activities for compliance with regulatory requirements and regulator expectation
Identifies and communicates 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
Integrates the broader organizational context into advice and solutions within the Compliance area
Understands the industry, competition and the factors that differentiate the organization
Leads 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
Recommends and implements solutions within own area of responsibility
May need to coordinate/integrate work with other areas as needed
Identifies and leads problem resolution for complex requirements related issues at all levels
Assists in the development and implementation of appropriate Compliance policies, processes and controls
Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework
Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
Guides and complements the assigned portfolio in terms of financial, regulatory and risk management requirements
Interacts with control functions within the organization
Develops analysis and insights, prepares and delivers management reporting necessary to promote accurate and thorough measurement of the risk factors present in various products
Updates business line policies and Compliance Team procedures
Analyzes Compliance requirements and establishes they are properly written into requirements for business projects and approved at the appropriate levels
Works directly with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations Keeps abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assesses potential impacts
Coordinates with other Compliance partners and business governance and control partners to promote consistency in the application of Compliance programs and standards across the enterprise
Supports in determining risk exposure, mitigation, and controls for new products, marketing campaigns, and expansion of existing programs
Conducts enterprise wide annual risk assessment for all TD businesses
Supports the business lines with compliance/risk controls and periodically evaluates risk mitigation efforts to adjust as risk/department influences change
Protects the interests of the organization – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
Provides thought leadership and or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps 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
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
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
Investment News
2026-01-16
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