Work Location:
Toronto, Ontario, Canada

Hours:
37.5

Line of Business:
Enterprise Enabling Functions

Pay Details:
$76,800 - $115,200 CAD

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.

• Oversee and/or independently perform testing of AML/ATF controls for the technologies which are used by the Global AML FIU, High Risk Investigations, Sanctions Operations, and ABAC teams.
• Lead the communication and the reporting process with the multiple stakeholders, including senior management.
• Lead a team of Supporting Analysts throughout all phases of a testing engagement, including planning, fieldwork, and reporting.
• Work independently as a subject matter expert of the functional area and applicable regulatory requirements (i.e., PCMLTFA and BSA/AML), and may coach and educate others.
• Act as a specialized resource to provide subject matter expertise for planning, risk assessment and execution of testing and monitoring activities and related AML technology processes with a high degree of complexity.
• Research and evaluate methodologies for analyzing risk exposures for assigned engagements.
• Recommend enhancements to policy/guidelines resulting from observations made during testing activities.
• Interact frequently with management and senior leadership of FCRM lines of businesses and technology stakeholders.
• Maintain a culture of risk management and control, supporting by effective processes in alignment with risk appetite.
• Prepare and present complex reporting, analysis and assessments that will bring about significant improvements to internal processes and activities.
• Undertake and complete a variety of projects and initiatives; may include the integration of cross functional processes within own area of expertise.
• Keep current on emerging trends and evolving regulatory requirements to find opportunities and recommend improvement areas to senior management to increase the efficiency and effectiveness of the team.
• Reports to a Manager role.

• Undergraduate degree with over 3 years of IT Auditing, IT Controls Assessment, SOX Testing Execution experience
• Experience in AML/ATF and/or similar regulatory requirements (i.e., PCMLTFA and BSA/AML).
• CISA / CISSP certification considered a strong asset.
• CAMS and/or CFCS designation preferred, but not required.
• Proficient knowledge of testing standards, systems, procedures, laws, rules, regulations, reporting and controls.
• Knowledge of IT controls frameworks (such as ITIL / COBiT) and related IT and business processes and operations
• Strong interpersonal skills to facilitate working with business unit, FCRM advisory, senior management, and business partners at all levels.
• Knowledge of risk management environment, standards, and regulations.
• Knowledge of current and emerging trends.
• Skill in using computer applications including MS Office.
• Skill in providing guidance to junior analysts.
• Skill in creating appropriate analysis and reporting.
• 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, organize and prioritize work while meeting multiple deadlines.
• Ability to handle confidential information with discretion.

• Executes testing engagement work in accordance with established standards to achieve completion within target timelines.
• Conducts skilled analytical research and analysis as part of the testing engagement and initiatives.
• Works collaboratively with key partners throughout the testing engagement.
• Presents objective and independent advice & recommendations to control partners on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements.
• Executes follow-up of findings raised from testing engagements in accordance with established standards.
• Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization.
• Proactively identifies matters which require additional attention, further escalation, or review, and liaise with the appropriate groups to resolve.
• As assigned, oversees/leads the testing engagement, including communications and the reporting processes.

• Prioritizes and manages own workload to deliver quality results and meet assigned timelines.
• Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.
• Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve controls.
• Understands the operations of the business unit/area being tested and to identify potential risks and apply information to complete a quality, risk-based engagement.
• Clearly and concisely documents research as required to understand requirements specific to an engagement.
• Working with control partners, keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards.
• Actively manages relationships within and across various business lines, corporate and/or control functions, and ensures alignment with enterprise and/or regulatory requirements.
• Provides analysis on issues and effectively communicates results to Testing management and the client.
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite.

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