Senior Governance & Control Analyst

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Governance & Control

Pay Details:

$81,600 - $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.

Job Description:

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to design, implement, maintain, and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

The team is responsible for ensuring timely and consistent implementation – across all TDS businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement TDS G&C methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C, support all TDS businesses in adherence to regulatory and enterprise requirements, managing non-financial risk, and ensuring effective controls in place.

The key accountabilities of the Senior Analyst role are as follows:

• •Assist with creation and maintenance of Value Chain (VC), Assessable Unit (AU), and Unique Business Process (UBP) inventories
• •Perform Risk and Control Self-Assessment (RCSA) documentation and engage other risk partners in RCSA execution.
• •Assess multiple individual processes concurrently, consolidate risks and controls across processes to eliminate duplication, and identify any gaps in processes as well as process inventory.
• •Assist with RCSA interim updates as operational risk events/issues arise
• •Identify and recommend opportunities to automate, enhance or streamline controls and any other processes.
• •Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution. Further, support TDS Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.
• •Identify opportunities to improve processes, realize efficiencies in testing (where possible) and deliver a better testing experience to TDS Businesses.
• •Assist with ad-hoc initiatives and strategies from a risk and control perspective.
• •Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.

Job Requirements

• •University or Post-Graduate degree; professional accounting/auditing/risk management designation would be considered an asset.
• •2 years of relevant experience (Risk, Audit, Compliance preferred).

• •Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology.
• •Strong interpersonal and relationship management skills.
• •Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• •Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• •Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• •Ability to take initiative and work independently and in a team environment.
• •Ability to process and handle confidential information with discretion.
• •Skill in using analytical software tools, data analysis methods and reporting techniques is an asset.

TD Securities' (TDS) Governance & Control (G&C) team partners with the TDS businesses globally to design, implement, maintain, and monitor effective internal controls and ensure business activities remain within TD Bank's risk appetite and comply with external regulatory requirements.

The team is responsible for ensuring timely and consistent implementation – across all TDS businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects. The TDS G&C team acts as the primary contact for the TDS businesses, working closely with subject matter experts from each TDS business line. The team works together with the business leaders to implement TDS G&C methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring TDS representation.

Job Description

Reporting to the Manager, TDS G&C, the primary role of the Senior Analyst, TDS G&C, support all TDS businesses in adherence to regulatory and enterprise requirements, managing non-financial risk, and ensuring effective controls in place.

The key accountabilities of the Senior Analyst role are as follows:

• •Assist with creation and maintenance of Value Chain (VC), Assessable Unit (AU), and Unique Business Process (UBP) inventories
• •Perform Risk and Control Self-Assessment (RCSA) documentation and engage other risk partners in RCSA execution.
• •Assess multiple individual processes concurrently, consolidate risks and controls across processes to eliminate duplication, and identify any gaps in processes as well as process inventory.
• •Assist with RCSA interim updates as operational risk events/issues arise
• •Identify and recommend opportunities to automate, enhance or streamline controls and any other processes.
• •Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution. Further, support TDS Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.
• •Identify opportunities to improve processes, realize efficiencies in testing (where possible) and deliver a better testing experience to TDS Businesses.
• •Assist with ad-hoc initiatives and strategies from a risk and control perspective.
• •Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.

Job Requirements

• •University or Post-Graduate degree; professional accounting/auditing/risk management designation would be considered an asset.
• •2 years of relevant experience (Risk, Audit, Compliance preferred).

• •Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology.
• •Strong interpersonal and relationship management skills.
• •Flexibility to quickly adapt to changing and ambiguous initiatives or requirements and ability to work collaboratively across functions and thrive in a fast-paced environment.
• •Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• •Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• •Ability to take initiative and work independently and in a team environment.
• •Ability to process and handle confidential information with discretion.
• •Skill in using analytical software tools, data analysis methods and reporting techniques is an asset.

Who We Are:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us fo