Qureos Mentor

TD Bank

Senior Manager, Compliance Business Oversight (US)

<div>Work Location:
Falmouth, Maine, United States of America
Hours:
40
Pay Details:
$86,840 - $123,320 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 &ndash; both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program &ndash; it's about creating a culture of compliance that will cascade throughout the organization.
The Ideal Candidate:
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank&rsquo;s size, complexity, and risk profile. In this role, you&rsquo;ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
Beyond technical expertise, we&rsquo;re looking for someone with an entrepreneurial mindset&mdash;someone who can &quot;roll up their sleeves&quot;, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you&rsquo;ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
U.S. Compliance Risk and Reporting Team is responsible for supporting change management initiatives, conducting Process Risk Control Assessment testing, Risk Appetite and Risk reporting for the Compliance Function. This role serves as the liaison between the Compliance function and broader organization policies to ensure alignment from a compliance and governance perspective.
In this Position:
Compliance Risk and Reporting Manager will provide leadership and oversight of process mapping and risk assessments under the Process Risk &amp; Control Self-Assessment Framework. Ensure quality assurance and testing to evaluate the effectiveness of Compliance controls recommending improvements where necessary. Work closely with Compliance personnel to support and coordinate activities related to the development and rollout of change activities. Ensuring compliance with all internal governance documents and regulatory requirements.
Establish and maintain comprehensive reporting and governance documentation. Monitor performance and communicate findings through structured reporting activities. Provide governance and operational support for the first line of defense testing program. Collaborate with Compliance and operational teams to implement testing procedures that ensure compliance with regulatory requirements and internal governance standards.
Assist in the preparation for internal audits and regulatory examinations. Track remediation efforts and support the resolution of compliance related findings, ensuring effective communication with relevant stakeholders. Coordinate ad hoc responses to regulatory agencies and mange internal audit findings, requests related to the risk and reporting team's oversight.
Engage in continuous improvement initiatives to enhance compliance risk and reporting processes, promoting a culture of risk awareness throughout the organization.
Please review the preferred background &amp; experience section below
The above details are specific to the role which is outlined in the general description below.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
Job Summary:
The Compliance Risk and Reporting Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
Depth &amp; Scope:
<ul><li>Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
</li><li>Integrates knowledge of the enterprise sub-function&rsquo;s or business line&rsquo;s overarching strategy in developing solutions across multiple functions or operations
</li><li>Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
</li><li>Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
</li><li>Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
</li><li>Independently manages end-to-end functional programs
</li><li>Uses sophisticated analytical thought to exercise judgement and identify solutions
</li><li>Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
</li><li>Impacts the achievement of sub-function or business line objectives within the area they are accountable for
</li><li>Work is guided by policies and industry standards/methods
</li><li>Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
</li><li>Works autonomously as the lead and guides others within area of expertise
</li></ul>Education &amp; Experience:
<ul><li>Undergraduate degree or equivalent work experience
</li><li>7+ years of experience
</li></ul>Preferred Background &amp; Experience:
<ul><li>Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulations
</li><li>Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
</li><li>Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems
</li><li>Knowledge and experience with risk management environment, standards, and regulations
</li><li>Ability to independently identify, assess, and escalate issues requiring senior management attention
</li><li>Experience leading bank compliance-related projects with multiple stakeholders and strict deadlines
</li><li>Experience presenting to management and regulators
</li><li>Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements
</li><li>Skill in using computer applications including MS Office
</li><li>Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
</li></ul>Customer Accountabilities:
<ul><li>Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
</li><li>Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
</li><li>Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
</li><li>Assists Compliance team members in the use of Issues and Events system for tracking and reporting
</li><li>Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
</li><li>Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
</li><li>Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
</li><li>Interacts with control functions within the organization
</li><li>Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
</li><li>Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive
</li></ul>Shareholder Accountabilities:
<ul><li>Adheres to enterprise frameworks and methodologies that relate to activities for our business area
</li><li>Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
</li><li>Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
</li><li>Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
</li><li>Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
</li><li>Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
</li><li>Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
</li><li>Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
</li></ul>Employee/Team Accountabilities:
<ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
</li><li>Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
</li><li>Participates in personal performance management and development activities, including cross training within own team
</li><li>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
</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce
</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
</li></ul>Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
<ul><li>Domestic Travel &ndash; Occasional
</li><li>International Travel &ndash; Never
</li><li>Performing sedentary work &ndash; Continuous
</li><li>Performing multiple tasks &ndash; Continuous
</li><li>Operating standard office equipment - Continuous
</li><li>Responding quickly to sounds &ndash; Occasional
</li><li>Sitting &ndash; Continuous
</li><li>Standing &ndash; Occasional
</li><li>Walking &ndash; Occasional
</li><li>Moving safely in confined spaces &ndash; Occasional
</li><li>Lifting/Carrying (under 25 lbs.) &ndash; Occasional
</li><li>Lifting/Carrying (over 25 lbs.) &ndash; Never
</li><li>Squatting &ndash; Occasional
</li><li>Bending &ndash; Occasional
</li><li>Kneeling &ndash; Never
</li><li>Crawling &ndash; Never
</li><li>Climbing &ndash; Never
</li><li>Reaching overhead &ndash; Never
</li><li>Reaching forward &ndash; Occasional
</li><li>Pushing &ndash; Never
</li><li>Pulling &ndash; Never
</li><li>Twisting &ndash; Never
</li><li>Concentrating for long periods of time &ndash; Continuous
</li><li>Applying common sense to deal with problems involving standardized situations &ndash; Continuous
</li><li>Reading, writing and comprehending instructions &ndash; Continuous
</li><li>Adding, subtracting, multiplying and dividing &ndash; Continuous
</li></ul>The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities &amp; duties are considered essential functions for ADA purposes.
#LI-AMCBCorporate
Who We Are:
 
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you&rsquo;ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we&rsquo;re here to support you towards your goals. As an organization, we keep growing &ndash; and so will you.
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&rsquo;re delighted that you&rsquo;re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we&rsquo;re committed to providing the support our colleagues need to thrive both at work and at home.
 
 
Colleague Development
 
If you&rsquo;re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You&rsquo;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 &ndash; and we&rsquo;re committed to helping you identify opportunities that support your goals.
 
 
Training &amp; Onboarding
 
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
 
 
Interview Process
 
We&rsquo;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
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.</div>

Compliance Risk and Reporting Manager

<div>Work Location:
Mount Laurel, New Jersey, United States of America
Hours:
40
Pay Details:
$58,760 - $93,600 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:
Analytics, Insights, &amp; Artificial Intelligence
Job Description:
The Business Insights Analyst I is responsible for conducting analyses on curated and/or aggregated DataMart's in conjunction with deep business subject matter expertise, to generate relevant analytical insights for business issues and identify opportunities to drive business growth and value.
Depth &amp; Scope:
<ul><li>Experienced professional role providing specialized guidance/assistance to function supported
</li><li>Focuses on short to medium-term non-routine specialized / fewer complex issues and/or initial escalated matters
</li><li>Independently performs activities from end-to-end
</li></ul>Education &amp; Experience:
<ul><li>Undergraduate degree or advanced technical degree preferred (e.g., math, physics, engineering, finance or computer science) Graduate's degree preferred with either progressive project work experience, or;
</li><li>Past relevant work experience is a plus
</li></ul>Customer Accountabilities:
<ul><li>Applies understanding of respective business knowledge and strategies to produce relevant and meaningful analysis and materials to support the creation and maturation of business goals and objectives
</li><li>Develops analysis and proper visualization or presentation to illustrate business trends and identify areas of business opportunities
</li><li>Produces insights and recommends business actions to support business strategy and/or solve business problems
</li><li>Works in partnership with various functional areas to provide day-to-day support and delivery of analytics
</li><li>Executes on data requests accurately and within a timely manner
</li><li>Represents functional area as an analytics &amp; insights professional and key resource
</li><li>Acts as a bridge to translate business requirements to analytics and reporting needs for a given domain while leveraging tools/techniques/methods that can be easily interpreted by the target audience
</li><li>Provides day-to-day support and delivery of analytics insights and collateral
</li><li>Contributes to the identification of key performance indicators
</li></ul>Shareholder Accountabilities:
<ul><li>Provides suggestions, ideas, and opportunities to support business needs
</li><li>Identifies opportunities for business/revenue growth and/or efficiencies for an assigned business or function
</li><li>Identifies and investigates data/analytics related issues
</li><li>Ensures data analysis and insights are reviewed to validate accuracy and minimize any potential errors
</li><li>Develops analysis to corroborate initial proof of concept
</li><li>May be required to educate/train business users on how to integrate analytics into decisions
</li><li>Provides recommendations on financial/monetization goals to deliver on (e.g. quantify functional value, cost savings and revenue generated etc.)
</li><li>Builds business requirements and facilitates project execution to develop insights
</li><li>Utilizes quantitative and qualitative methodologies to interpret and present data effectively and clearly
</li><li>Is knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area
</li><li>Protects the interests of the organization &ndash; identifies and manages risks, and escalates non-standard, high-risk activities as necessary
</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
</li><li>Adheres to internal policies/procedures and applicable regulatory guidelines
</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
</li><li>May lead work streams by acting as a project lead/subject matter expert for small scale projects/initiatives in accordance with project management methodologies
</li></ul>Employee/Team Accountabilities:
<ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
</li><li>Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
</li><li>Participates in personal performance management and development activities, including cross training within own team
</li><li>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
</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce
</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
</li></ul>Who We Are:
 
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you&rsquo;ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we&rsquo;re here to support you towards your goals. As an organization, we keep growing &ndash; and so will you.
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&rsquo;re delighted that you&rsquo;re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we&rsquo;re committed to providing the support our colleagues need to thrive both at work and at home.
 
 
Colleague Development
 
If you&rsquo;re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You&rsquo;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 &ndash; and we&rsquo;re committed to helping you identify opportunities that support your goals.
 
 
Training &amp; Onboarding
 
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
 
 
Interview Process
 
We&rsquo;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
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.</div>

Business Insights Analyst I/Business Intelligence - Mt. Laurel, NJ

<div>Work Location :
New York, New York, United States of America
Hours:
40
Line of Business:
TD Securities
Pay Detail:
$125,000 - $175,000 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.
Job Description:
We are looking for a highly motivated Business Associate to join our Partnership &amp; Innovation team within Global Transaction Banking. This role will provide analytical, operational, and project coordination support across multiple initiatives that connect the bank with innovative third-party partners. The successful candidate will work closely with senior team members to deliver task-oriented, high-quality outputs that accelerate vendor onboarding, streamline processes, and enable the delivery of cutting-edge solutions to clients.
<h2 class="jobSectionHeader">Key Responsibilities
</h2><h3 class="jobSectionHeader">1. Partnership Support
</h3><ul><li>Assist in the vendor engagement process, from initial research and documentation to onboarding and ongoing performance tracking.
</li><li>Support proof-of-concept (POC) pilots, sandbox testing, and integration readiness activities.
</li><li>Maintain accurate records of vendor profiles, assessments, and status updates in tracking systems.
</li></ul><h3 class="jobSectionHeader">2. Project &amp; Task Management
</h3><ul><li>Coordinate project timelines, action items, and deliverables across multiple workstreams.
</li><li>Support the preparation of meeting agendas, materials, and follow-up notes.
</li><li>Track and report progress against milestones to ensure deadlines are met.
</li></ul><h3 class="jobSectionHeader">3. Data &amp; Analysis
</h3><ul><li>Conduct market research on potential partners, emerging technologies, and industry trends relevant to Transaction Banking.
</li><li>Assist in analyzing vendor proposals, capabilities, and performance metrics.
</li><li>Create dashboards and reporting summaries to support decision-making.
</li></ul><h3 class="jobSectionHeader">4. Documentation &amp; Governance
</h3><ul><li>Prepare documentation for vendor assessments, risk reviews, and compliance approvals.
</li><li>Ensure all records meet internal audit, regulatory, and operational standards.
</li><li>Maintain and update templates, process maps, and procedural guides.
</li></ul><h2 class="jobSectionHeader">Qualifications &amp; Experience
</h2>Required:
<ul><li>3&ndash;6 years of experience in business analysis, operations, or project support within financial services, preferably in Transaction Banking or related areas.
</li><li>Strong organizational skills with the ability to manage multiple priorities simultaneously.
</li><li>Solid analytical and research capabilities, with proficiency in Excel, PowerPoint, and reporting tools.
</li><li>Excellent written and verbal communication skills.
</li><li>Detail-oriented with a commitment to accuracy and process integrity.
</li></ul><ul><li>Think independently, thrive in a fast-paced team environment, and creatively problem solve.
</li></ul><ul><li>Ability to connect various thoughts, observations, and results to develop solutions and new insights that drive an improved partnership experience.
</li></ul>Preferred:
<ul><li>Exposure to third-party vendor management or partnership processes.
</li><li>Experience with innovation projects, POCs, or technology assessments.
</li><li>Familiarity with compliance and risk considerations in banking vendor engagements. 
</li></ul>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&rsquo;re delighted that you&rsquo;re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we&rsquo;re committed to providing the support our colleagues need to thrive both at work and at home.
 
 
Colleague Development
 
If you&rsquo;re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You&rsquo;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 &ndash; and we&rsquo;re committed to helping you identify opportunities that support your goals.
 
 
Training &amp; Onboarding
 
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
 
 
Interview Process
 
We&rsquo;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
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.</div>

Associate - Business Analyst – Partnership & Innovation, TD Securities

<div>Work Location:
New York, New York, United States of America
Hours:
40
Pay Details:
$119,600 - $178,880 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 &ndash; both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program &ndash; it's about creating a culture of compliance that will cascade throughout the organization. 
The Ideal Candidate
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank&rsquo;s size, complexity, and risk profile. In this role, you&rsquo;ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. 
Beyond technical expertise, we&rsquo;re looking for someone with an entrepreneurial mindset&mdash;someone who can &quot;roll up their sleeves&quot;, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. 
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you&rsquo;ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
The C ompliance Governance &amp; Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
The above details are specific to the role which is outlined in the general description below. Please review the Desired Skills and Experience section below as you consider this opportunity.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
The Compliance Governance &amp; Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
Depth &amp; Scope:
<ul><li>Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
</li><li>Integrates knowledge of the enterprise sub-function&rsquo;s or business line&rsquo;s overarching strategy in developing solutions across multiple functions or operations
</li><li>Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
</li><li>Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
</li><li>Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
</li><li>Independently manages end-to-end functional programs
</li><li>Uses sophisticated analytical thought to exercise judgement and identify solutions
</li><li>Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
</li><li>Impacts the achievement of sub-function or business line objectives within the area they are accountable for
</li><li>Work is guided by policies and industry standards/methods
</li><li>Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
</li><li>Works autonomously as the lead and guides others within area of expertise
</li></ul>Education &amp; Experience:
<ul><li>Undergraduate degree or equivalent work experience
</li><li>7+ years of experience
</li></ul>Preferred Skills:
<ul><li>7+ years of this work experience in the industry.
</li></ul>Customer Accountabilities:
<ul><li>Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
</li><li>Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
</li><li>Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
</li><li>Assists Compliance team members in the use of Issues and Events system for tracking and reporting
</li><li>Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
</li><li>Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
</li><li>Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
</li><li>Interacts with control functions within the organization
</li><li>Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
</li><li>Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive
</li></ul>Shareholder Accountabilities:
<ul><li>Adheres to enterprise frameworks and methodologies that relate to activities for our business area
</li><li>Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
</li><li>Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
</li><li>Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
</li><li>Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
</li><li>Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
</li><li>Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
</li><li>Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
</li><li>Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
</li><li>Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
</li><li>Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
</li><li>Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
</li></ul>Employee/Team Accountabilities:
<ul><li>Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
</li><li>Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
</li><li>Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
</li><li>Participates in personal performance management and development activities, including cross training within own team
</li><li>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
</li><li>Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
</li><li>Contributes to a fair, positive and equitable environment that supports a diverse workforce
</li><li>Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
</li></ul>Physical Requirements:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
<ul><li>Domestic Travel &ndash; Occasional
</li><li>International Travel &ndash; Never
</li><li>Performing sedentary work &ndash; Continuous
</li><li>Performing multiple tasks &ndash; Continuous
</li><li>Operating standard office equipment - Continuous
</li><li>Responding quickly to sounds &ndash; Occasional
</li><li>Sitting &ndash; Continuous
</li><li>Standing &ndash; Occasional
</li><li>Walking &ndash; Occasional
</li><li>Moving safely in confined spaces &ndash; Occasional
</li><li>Lifting/Carrying (under 25 lbs.) &ndash; Occasional
</li><li>Lifting/Carrying (over 25 lbs.) &ndash; Never
</li><li>Squatting &ndash; Occasional
</li><li>Bending &ndash; Occasional
</li><li>Kneeling &ndash; Never
</li><li>Crawling &ndash; Never
</li><li>Climbing &ndash; Never
</li><li>Reaching overhead &ndash; Never
</li><li>Reaching forward &ndash; Occasional
</li><li>Pushing &ndash; Never
</li><li>Pulling &ndash; Never
</li><li>Twisting &ndash; Never
</li><li>Concentrating for long periods of time &ndash; Continuous
</li><li>Applying common sense to deal with problems involving standardized situations &ndash; Continuous
</li><li>Reading, writing and comprehending instructions &ndash; Continuous
</li><li>Adding, subtracting, multiplying and dividing &ndash; Continuous
</li></ul>The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities &amp; duties are considered essential functions for ADA purposes.
Who We Are:
 
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you&rsquo;ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we&rsquo;re here to support you towards your goals. As an organization, we keep growing &ndash; and so will you.
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&rsquo;re delighted that you&rsquo;re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we&rsquo;re committed to providing the support our colleagues need to thrive both at work and at home.
 
 
Colleague Development
 
If you&rsquo;re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You&rsquo;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 &ndash; and we&rsquo;re committed to helping you identify opportunities that support your goals.
 
 
Training &amp; Onboarding
 
We will provide training and onboarding sessions to ensure that you&rsquo;ve got everything you need to succeed in your new role.
 
 
Interview Process
 
We&rsquo;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
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.</div>

ATH 3827 - Manager, Compliance Board Reporting

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ATH 3827 - Manager, Compliance Board Reporting