FCRM Testing Analyst - Operations (5319)

TD•Toronto, ON

9d•CA$69,700 - CA$98,400•Hybrid

About The Position

The Financial Crime Risk Management (FCRM) Enterprise Testing Team sits within the second line of defense and conducts design and operating effectiveness testing of AML/ATF, Sanctions, and ABAC controls within TD's business lines, relevant operational and control units, and key FCRM technologies, Enterprise-wide. The FCRM Testing Analyst executes independent testing of FCRM controls for assigned business line testing across the Enterprise, in a supporting role. This position will be responsible for testing key controls and processes within TD's Financial Intelligence Unit (FIU), including teams responsible for transaction monitoring, high-risk investigations, regulatory reporting, demarkets, and sanctions operations.

Requirements

University degree/ college diploma or equivalent
2+ years of experience in AML/ATF, Sanctions, audit, or control testing roles.
Experience working in an FIU and/or working knowledge of FIU related processes and controls.
Knowledge of AML/ATF regulations and current/emerging trends.
Ability to communicate effectively in both oral and written form.

Nice To Haves

CAMS designation (or similar) preferred.
Experience/SME within TD Securities or Financial Intelligence Unit (FIU) businesses preferred.

Responsibilities

Support the execution of testing engagement work (design and operating effectiveness testing) in accordance with established standards to achieve completion within target timelines.
Independently perform tasks from end to end.
Carry out work with some complexity, generally requiring a short-term focus.
Conduct skilled analytical research and analysis as part of the testing engagement and initiatives.
Proactively identify matters which require additional attention, further escalation, or review.
Support follow-up of findings raised from testing engagements in accordance with established standards.
Prioritize and manage own workload to deliver quality results and meet assigned timelines.
Manage ambiguity, and apply judgement to identify, troubleshoot and resolve issues.
Work collaboratively with the team throughout the testing engagement.
Present objective and independent advice & recommendations to control partners on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements.
Provide light subject matter expertise and/or input to projects/initiatives as a representative for an area of the function.
Contribute to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.
Adhere to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve controls.
Understand the operations of the business unit/area being tested and to identify potential risks and apply information to complete a quality, risk-based engagement.
Clearly and concisely document research as required to understand requirements specific to an engagement.
May develop and provide reporting, analysis, and assessments at the functional or enterprise level.
Effectively support execution of engagement activities.
Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk transactions/activities as necessary.
Provide analysis on issues and effectively communicate results to Testing management.
Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation, and teamwork and promote timely communication of issues/ points of interest.
Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit.
Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques.
Participate in personal performance management and development activities, including cross training within own team.
Keep 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.
Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
Contribute to a fair, positive, and equitable environment that supports a diverse workforce.
Act as a brand champion for your business area/function and the bank, both internally and/or externally.