Compliance Governance & Operations Analyst I

TD•Montreal, QC

1d•CA$59,500 - CA$84,000•Onsite

About The Position

The TD Equipment Finance (TDEF) team is a center of excellence within TD Specialized Commercial Banking. Our mandate is to structure equipment financing (leases and loans) for business clients and prospects as an alternative to other conventional bank sources of financing such as term loans. We are looking for new team members to join our Compliance & Governance department within TDEF Canada through a short-term assignment of 8 months. For this position, you will provide a range of operational process support within the AML Compliance team functional area for TD Equipment Finance. You will develop and maintain knowledge of relevant internal guidelines regarding AML KYC as well as existing and emerging Compliance risk across the business. On a typical day, you will be assisting the business by conducting AML reviews of potential and existing customers requests while adhering to TD's Compliance practices. You will act as a key resource/specialist owner by providing operational process support on Compliance matters by following established procedures. You will perform routine to broad tasks & investigate problems during reviews and help identify solutions. You will be providing support of Compliance related activities and transactions to resolve business issues. You will participate in improving the service delivery and support process improvement initiatives of the department while participating in special projects, audits & Quality Control reviews.

Requirements

Business line subject matter expert on Compliance matters.
Ability to communicate effectively in both oral and written forms.
Undergraduate degree
2+ years relevant experience
Relevant professional designations and/or certifications, as required.

Nice To Haves

Ability to manage multiple requests and deadlines, exercise sound judgment while ensuring accuracy in day-to-day situations.

Responsibilities

Conducting AML reviews of potential and existing customers requests while adhering to TD's Compliance practices.
Acting as a key resource/specialist owner by providing operational process support on Compliance matters by following established procedures.
Performing routine to broad tasks & investigating problems during reviews and helping identify solutions.
Providing support of Compliance related activities and transactions to resolve business issues.
Participating in improving the service delivery and support process improvement initiatives of the department.
Participating in special projects, audits & Quality Control reviews.
Researching and responding to compliance related questions as requested.
Meeting or exceeding customer expectations for turnaround time when conducting AML Reviews.
Resolving issues quickly to deliver a positive customer experience.
Completing assigned tasks accurately, with speed and within established standards.
Keeping up to date on regulatory and policy modifications.
Supporting development of procedures and governance processes and advising the Compliance stakeholders and teams of any changes.
Participating in the development and training to strengthen knowledge base of compliance and regulatory topics for the business.
Staying current on changes regarding internal policies and procedures to understand impact and ensure compliance.
Reviewing and updating TDEF procedures as appropriate.
Interacting with control functions within the organization.
Collaborating directly with Compliance partners and other related groups (Legal, Op Risk, GAML, etc.) to support documentation and reporting required by external regulatory bodies and TD internal groups.
Exercising discretion in managing correspondence, information and all matters of confidentiality; escalating issues where appropriate.
Participating and taking initiative related to all Internal/External Audits, and Quality Control reviews.
Developing and completing quality control validations as requested by Senior Management.
Identifying areas of risk and escalating emerging issues to the appropriate level.
Assisting Compliance team members in the use of Issues and Events system for tracking and reporting.
Preparing summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program's at TDEF.
Participating in special projects and performing additional duties as required.
Active participant in diverse Compliance & Governance business initiatives.
Managing multiple requests and deadlines, exercising sound judgment while ensuring accuracy in day-to-day situations.