TD · 1 day ago
Senior Compliance Business Oversight Analyst - Talent Development & Operations Specialist
Buffalo-Niagara Area
Full-time
Hybrid
Mid, Senior Level
$69K/yr - $112K/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 provide guidance and support for compliance controls and processes. The role involves managing compliance risk, developing compliance programs, and collaborating with various stakeholders to ensure adherence to regulatory requirements.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
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
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
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
Advise 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
Being part of a team of talent development professionals to deliver an innovative, results-driven US Compliance talent development program
Participating in the talent management review cycle through skills assessments, surveys, interviews, and collaboration with management
Collaborating with internal stakeholders to develop role-specific training pathways and development plans
Collaborating with learning partners to manage annual / recurring training schedules and calendars
Assisting in identifying relevant target audiences
Preparing reports and metrics on training outcomes
Collecting and reviewing training feedback to improve training programs
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
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