Governance and Control Analyst III
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The Wealth Shared Services Business Governance & Control (WSS G&C) team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation \u2013 across all Wealth businesses \u2013 of all risk, control and governance programs, initiatives, policies and standards. Job Description Reporting to the Senior Manager, the Analyst will be part of the Central Testing team, ensuring internal control testing plan and execution is effectively conducted based on the requirements of the 2nd line functions (e.g. Compliance, Risk, AML, etc). Primary Responsibilities:
Requirements Education & Experience
- Assist in the development of Design and Operating effectiveness of Testing programs that will effectively and efficiently detect gaps in internal processes/controls. Understand and apply sampling methodology in accordance with TD sampling guidelines.
- Conduct ongoing testing of key controls/requirements for all TD Wealth Businesses. Ensure that exceptions are appropriately analyzed, reported and tracked to resolution.
- Assist TD Wealth Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes
- Assist in the identification of opportunities to improve processes, identifying and realizing efficiencies in testing (where possible) and delivering a better testing experience to Wealth Businesses.
- Assist with performing Annual Risk Assessments of processes based on inherent impact and likelihood;
- Work with business stakeholders to develop or enhance key controls and remediate documentation/process gaps to reduce risks; and Control Partners Engagement support
- Control Partners Engagement support
- Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings and knowledge with the team.
- University education
- 5 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 Excel, PowerPoint, Visio, and Word
- 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
- Prior audit experience, quality control testing experience, or familiarity with TD Bank testing methodology is an asset
- Understanding of TD Wealth business operations and processes is an asset
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.