Senior Compliance Analyst

Shareholder Accountabilities:

1. Updates business line policies and Compliance Team procedures.
2. Analyzes Compliance requirements and establishes they are properly written into requirements for business projects and approved at the appropriate levels.
3. 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.
4. 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.
5. Supports in determining risk exposure, mitigation, and controls for new products, marketing campaigns, and expansion of existing programs.
6. Conducts enterprise wide annual risk assessment for all TD businesses.
7. Supports the business lines with compliance/risk controls and periodically evaluates risk mitigation efforts to adjust as risk/department influences change.
8. 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:

1. 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.
2. Provides thought leadership and or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business.
3. Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques.
4. Participates in personal performance management and development activities, including cross training within own team.
5. 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.
6. Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
7. Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships.
8. Contributes to a fair, positive and equitable environment that supports a diverse workforce.
9. Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally.