Senior Compliance Business Oversight Analyst

Senior Compliance Business Oversight Analyst

Work Location : New York, New York, United States of America Hours : 40 Pay Details : $68,640 - $102,960 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business : Compliance

Job Description :

Why Work with Us? At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This is not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization. The Senior Compliance Business Oversight Analyst will play a critical role in supporting the Fair Banking Compliance department by managing multiple ongoing projects, driving accountability across initiatives, and delivering clear, actionable reporting. This individual will combine strong project management skills with advanced data and reporting expertise (power BI, excel, PowerPoint) and solid database knowledge (Microsoft Access and SQL) to ensure effective oversight, governance, and transparency.

Key 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.

Business oversight and governance

Support compliance leadership with oversight of business processes

Ensure project documentation, governance standards and escalation protocols are followed

Reporting and Analytics

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

Database and data management

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

Stakeholder management

Collaborate with cross functional partners including compliance stakeholders, Line of Business and risk partners

Communicate project updates and reporting results effectively to senior management.

The above details are specific to the role which is outlined in the general description below. Please review desired skills & experience below as you consider this opportunity.

Job Profile Summary

The Senior Compliance Business Oversight Analyst 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. This role contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws.

Depth & Scope :

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

Education & Experience :

Undergraduate degree or equivalent work experience

5+ years of experience

Desired Skills and Experience :

Bachelor's degree in Business, Finance, Data Analytics, information systems, or related field (Masters Preferred)

5 plus years of experience in project management, compliance, risk management or business oversight within financial services

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

Project management certification (PMP, CAPM, CRCM or similar)

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.

Customer Accountabilities :

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

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,