Job Description

TD Description

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Department Overview

TD Wealth offers a full range of competitive wealth and asset management solutions to retail and institutional clients. We help individual and institutional clients protect, grow, and successfully transition their wealth. There are five unique lines of business:

• Advice: Our fastest growing division which includes financial planning, full-service brokerage, and private client groups.
• Direct Investing: Canada's largest direct investing brokerage, provides a full set of offerings to retail clients in Canada
• TD Asset Management (TDAM): A leading North American investment management company comprising of both retail and institutional clients
• US Wealth: Leverages the branches in TD's US retail arm to offer suite of products and services to American customers
• Wealth Shared Services: National back-office support function serving all market-facing businesses across strategic editorial content, business management, business architecture, wealth product, analytics and reporting, and operations.
• Wealth Governance & Controls: National team, advising and supporting the management of the overall risk, control, and governance portfolio for TD Wealth.

TD Wealth's Governance & Control (G&C) team partners with the Wealth businesses 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 Wealth Canada businesses - of all risk, control and governance programs, initiatives, policies, and strategic business projects. The Wealth G&C team acts as the primary contact for the Wealth Canada businesses, working closely with subject matter experts from each Wealth Canada business line. The team works together with the business leaders to implement Wealth-wide G&C methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring Wealth representation.

We operate in a hybrid model, meaning in the office about half of the time and have flexibility to work remotely (if you choose) for the other part of the week

Job Requirements

Education & Experience

• Undergraduate degree (preferred specialization in Commence, Finance, Business Admin)
• 2+ years of relevant experience (Financial, Risk & Audit)

Skills

• Fundamental 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 handle confidential information with discretion

Hours

37.5



Reporting to the Manager, Analyst II will be part of the Central Testing team, ensuring internal control testing plan and execution is effectively conducted based on the requirements of the 1st and 2nd line functions (e.g., Compliance, Risk, AML, etc.).

Primary Responsibilities:

• Conduct testing as it relates to AML New Accounts and AML Dual Process (end to end)
• Conduct ongoing QC testing of key controls/requirements for TD Wealth Businesses across CTA Testing Programs, as assigned; including prepare documentation of testing results, as required by internal operating procedures; and ensure that exceptions are appropriately analyzed, reported, and tracked
• Understand and apply sampling methodology in accordance with TD sampling guidelines & Reporting
• 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.
• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.
• Perform other administrative duties as requested by management

Inclusiveness

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.

Business Line

Corporate

Job Category - Primary

Corporate Development / Strategy / Design

Job Category(s)

Anti-Money Laundering / Compliance & Regulatory Relations

Job Family

TD Governance & Control

Time Type

Full Time

Employment Type

Regular