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Senior Compliance Business Oversight Analyst

Senior Compliance Business Oversight Analyst

NY StaffingNew York, NY, US
21 hours ago
Job type
  • Full-time
Job description

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.
  • 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, 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
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