Work Location:
Charlotte, North Carolina, United States of America
Hours:
40
Line of Business:
Governance & Control
Pay Detail:
$58,760 - $88,400 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.
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Job Description:
The Governance & Control Analyst III provides specialized business governance and control guidance and support for a business or functional area and implements policies/processes and/or initiatives to meet business governance and control objectives. May provide complex reporting, analysis, testing and assessments at the functional or enterprise level and is generally a lead or SME for a given area/function.
This position will be responsible for supporting the Monitoring team within the AMCB 1B Governance and Control AML Center of Excellence (COE) team covering AML/CTF, Sanctions and Anti-Bribery coverage for first line owned controls. The individual in this role will support the AMCB 1B AML testing program which is accountable for conducting independent testing to ensure operational risk and compliance requirements related to financial crimes are adhered to and supporting the results with robust workpaper documentation. The individual will also support the other Monitoring teams covering Issues Oversight, Third-Party/Technology/Model Oversight and Data and Reporting as needed.
Depth & Scope:
- Experienced working professional role providing specialized services, advisory or processes/program support within their own area of specialty
- Requires business experience, conceptual and practical knowledge of own specialty and knowledge of broader related areas
- Accountable for own work and acts as an escalation point or knowledge resource for others
- Leads projects or work streams within broader projects with moderate risk and may be accountable for managing ongoing activities, processes and functional programs
- Works within broad guidelines/policies and independently performs tasks from end-to-end
- Solves moderately complex problems by taking a new perspective on existing solutions
- Exercises judgment based on the analysis of multiple sources of information
- Conveys business context when providing guidance within field of specialty to internal or external stakeholders
- Identifies and leads problem resolution
Education & Experience:
- Undergraduate degree preferred
- Broad knowledge of business and risk and control environment
- 4+ years of relevant experience
- Solid knowledge of governance, risk and control procedures, strategies & tactics
- Knowledge of current and emerging trends
- 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
- Ability to work collaboratively and build relationships
- Ability to work successfully as a member of a team and independently
- Ability to exercise sound judgement in making decisions
- Ability to analyze, research, organize and prioritize work while meeting multiple deadlines
- Ability to process and handle confidential information with discretion
Preferred Qualifications
- Experience developing dashboards and reporting/presentations for senior management
- Experience creating and maintaining procedural documents.
- Project Management experience.
Customer Accountabilities:
- Provides specialized business governance and control related advice/support to management/leadership and respective teams for area(s) of specialization
- Leads on 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 and testing solutions and supporting implementation activities
Shareholder Accountabilities:
- Ensures programs/policies/practices are well-managed, meet business needs/priorities, and comply 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
- Is 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/expertise in own area 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
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
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. Learn more
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
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.