Senior Governance & Control Analyst, Regulatory (US)

Senior Governance & Control Analyst

Work Location : Charlotte, North Carolina, United States of America Hours : 40

Pay Details : $68,640 - $112,320 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 : Governance & Control

Job Description : The Senior Governance & Control Analyst provides specialized business governance and control guidance and expertise within the Regulatory Operations functional area and implements policies / processes and / or initiatives to meet business governance, risk, and control objectives. May provide complex reporting, analysis, testing and assessments at the functional or enterprise level and is generally a lead or subject matter expert for a given area / function. Incumbent will possess in-depth knowledge / expertise of risk and controls and working knowledge of broader related areas.

Depth & Scope

Empowered to make prudent professional decisions in rendering advice and counsel to business lines or assigned areas on regulatory matters and risks which may impact performance of the business and overall enterprise strategies and objectives. Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory matters. Advises on complex matters and is expected to make decisions regarding risks, controls, and compliance with processes, and is expected to escalate issues of non-compliance. Applies best practices to implement process, product or service improvements. Leads projects of moderate to complex risk and resource requirements; may lead end-to-end processes or functional programs. Contributes to setting standards within area of expertise, develops and maintains internal process and / or procedure documentation. Solves complex problems requiring analysis of multiple variables, including consultation with multiple stakeholders. Uses advanced methods to identify complex findings, contribute to new solutions, oversee remediation action plans, and recommend and assess standards against which others will operate. Interprets laws, rules, regulations, guidelines, standards, policies and results of analysis to inform decision making at senior levels. Works independently as a SME or lead and guides others within area of expertise.

Education & Experience

Undergraduate degree or equivalent experience required. 5+ years of relevant experience. Proficient knowledge of governance, risk and control procedures, strategies & tactics. Proficient Knowledge of current and emerging trends. Skill in mentoring / coaching others. Skill in using analytical software tools, data analysis methods and reporting techniques. Skill in using computer applications including MS Office. Ability to communicate effectively in both oral and written form, including at senior levels of the organization. Ability to work collaboratively and build relationships. Ability to work successfully as a member of a team and independently. Ability to exercise sound judgment in making decisions. Ability to analyze, research, organize and prioritize work while meeting multiple deadlines. Ability to process and handle confidential information with discretion.

Customer Accountabilities

Provides specialized business governance and control related advice / support to management / leadership and respective teams for area(s) of specialization. Leads the implementation of governance and control initiatives in support of the overall business / function strategy. Manages a set of business governance and control work activities requiring coordination across multiple areas. Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of solutions, processes and controls. Supports / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas. Provides subject matter expertise to projects / initiatives, and participates in identifying, designing monitoring, and testing solutions and supporting implementation activities.

Shareholder Accountabilities

Ensures programs / policies / practices are well managed, meets business needs / priorities, and complies with internal / external requirements. Exercises discretion in managing communication, correspondence, information and all matters of confidentiality. Conducts research projects; supports the development / delivery of materials and presentations to management or broader audience. Adheres to enterprise frameworks or methodologies that relate to activities for own business area. May lead work streams by acting as a project lead / SME for medium scale projects / initiatives in accordance with project management methodologies. Protects the interests of the organization identifies and manages risks, and escalates non-standard, high risk transactions / activities as necessary. Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite. Knowledgeable of and complies with Bank Code of Conduct.

Employee / Team Accountabilities

Participates as a member of the team, supports a positive work environment and ensures timely communication. Supports team by regularly enhancing knowledge and participates in knowledge transfer. Keeps current on emerging trends / developments and grows knowledge of the business, related tools and techniques. Keeps others informed about the status / progress of projects. Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices. Contributes to a fair, positive and equitable environment. Acts as a brand ambassador for your business area / function and the bank.

OCC Language

Physical Requirements

Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100% Domestic Travel Occasional International Travel Never Performing sedentary work Continuous Performing multiple tasks Continuous Operating standard office equipment - Continuous Responding quickly to sounds Occasional Sitting Continuous Standing Occasional Walking Occasional Moving safely in confined spaces Occasional Lifting / Carrying (under 25 lbs.) Occasional Lifting / Carrying (over 25 lbs.) Never Squatting Occasional Bending Occasional Kneeling Never Crawling Never Climbing Never Reaching overhead Never Reaching forward Occasional Pushing Never Pulling Never Twisting Never Concentrating for long periods of time Continuous Applying common sense to deal with problems involving standardized situations Continuous Reading, writing and comprehending instructions Continuous Adding, subtracting, multiplying and dividing Continuous

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing and so will you.

Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation / incentive awards (e.g., eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.

Additional Information We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD and we're committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will