TD Securities · 9 hours 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 Securities is one of the world's leading global financial institutions, committed to building a resilient compliance risk management function. The Senior Compliance Business Oversight Analyst will provide guidance and support for compliance controls and processes, contributing to the development of compliance programs and managing day-to-day operations.
BankingFinanceFinancial Services
Responsibilities
Provides 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
Contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws
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
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
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
Canada NewsWire
2026-02-04
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