Senior Compliance Analyst

Shareholder Accountabilities:

• 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
  

Employee/Team Accountabilities:

• 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