Senior Analyst, Regulatory Compliance Risk Assessment Data and Reporting (US)

TD•Charlotte, NC

5d•$72,280 - $117,520•Onsite

About The Position

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 – both in day-to-day operations and in the design of a future-focused compliance program. This is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization. Reporting to the Manager or Senior Manager, Compliance Risk Assessments, the Senior Compliance Analyst supports the execution of the enterprise Regulatory Compliance Risk Assessment (RCRA) through data management, analysis, quality control, dashboarding, and management reporting. The role transforms assessment data into timely, accurate, and actionable insights that support program oversight, stakeholder decision-making, and senior management reporting. The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.

Requirements

Undergraduate degree or equivalent work experience
5+ years of experience
Must have 5+ years of relevant experience in Compliance, Risk Management, Data Analytics, Business Intelligence, Reporting, Internal Audit, or a related discipline.
Strong attention to detail and commitment to data accuracy, completeness, consistency, timeliness, and traceability.
Ability to perform data quality reviews, investigate discrepancies, identify root causes, document findings, and coordinate corrective action with stakeholders.
Strong data analysis and reporting skills, with the ability to organize, reconcile, interpret, and summarize complex information from multiple sources.
Working knowledge of regulatory compliance risk management principles and risk assessment concepts, including inherent risk, control effectiveness, residual risk, and supporting rationale.

Nice To Haves

Undergraduate degree required; relevant professional designation, data analytics training, or reporting certification is an asset.
Self-starter who can independently execute assigned work, exercise sound judgment, escalate issues appropriately, and contribute to small projects or process-improvement initiatives.
Proven relationship management and collaboration skills, with the ability to work effectively across Compliance, Risk, Technology, Data, and business teams.
Strong organizational and time-management skills, with the ability to manage recurring reporting cycles, ad hoc requests, and multiple deadlines in a changing environment.
Excellent written and verbal communication skills, with the ability to explain analytical findings and reporting requirements clearly to technical and non-technical stakeholders.
Strong critical thinking and problem-solving skills, including the ability to identify trends, outliers, dependencies, and emerging risk themes.
Advanced proficiency in Microsoft Excel and PowerPoint; experience with Power BI, data visualization tools, GRC platforms, databases, or reporting automation is preferred.
Experience developing management reports, dashboards, metrics, data visualizations, and concise written insights for business and senior management audiences.

Responsibilities

Support ad hoc data analysis, transformation initiatives, regulatory requests, audit or quality assurance reviews, and other program priorities as required.
Identify opportunities to automate manual reporting, strengthen data controls, simplify processes, and improve the usability and timeliness of RCRA insights.
Support assessment-cycle activities, including stakeholder communications, data preparation, progress monitoring, issue escalation, and preparation of materials for review and challenge sessions.
Partner with Compliance Program Management, Compliance Data Enablement and Transformation, Business Application Support, Risk Owners, and Oversight Functions to clarify data requirements and improve reporting outcomes.
Support metric governance by maintaining metric inventories, calculation logic, thresholds, reporting requirements, and evidence supporting the validity and verifiability of reported information.
Maintain clear documentation of data sources, definitions, calculations, assumptions, transformations, controls, and report production steps to support accuracy, repeatability, and end-to-end traceability.
Prepare recurring and ad hoc management reporting, including concise commentary, supporting analysis, and presentation materials for Compliance leadership and other senior audiences.
Analyze RCRA results to identify trends, concentrations, outliers, and emerging themes across business units, segments, Laws, Rules and Regulations, and Enterprise Risk Framework taxonomy levels.
Perform data validation, reconciliation, and quality control activities to identify incomplete, inconsistent, duplicate, or anomalous assessment data and coordinate timely resolution with data owners and stakeholders.
Develop and maintain RCRA execution trackers, dashboards, data visualizations, and status reporting to monitor progress, completion, quality, and key program indicators.
Support the collection, extraction, consolidation, and maintenance of RCRA and Program Effectiveness Assessment data from approved source systems, templates, and stakeholder submissions.
Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner.
Coordinates requests to and from, business (Compliance) partners and coordinates tracking and reporting of Compliance function initiatives and programs.
Prepares and delivers summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders.
Recommends responses to enterprise Compliance Program questions and immediately escalates any sensitive issues according to departmental procedures.
Analyzes data and draw conclusions to meet program health reporting requirements.
Analyzes emerging trends pertaining to regulatory changes, reporting or other departmental functions and provides recommendations to enhance or rectify Compliance - related gaps, issues and enhancements.
Proactively identifies matters requiring additional review, escalation, and liaises with appropriate staff to resolve, as appropriate.
Contributes to various activities and processes as assigned.
Adheres to enterprise frameworks or methodologies that relate to activities for own business area.
Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate.
Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area.
Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk activities as necessary.
Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience.
Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices.
Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists.
Acquires and applies expertise in the discipline, provides guidance, assistance and direction to others.
Identifies, recommends and effectively executes standard practices applicable to the discipline.
Adheres to internal policies/procedures and applicable regulatory guidelines.
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts.
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite.
May lead work streams by acting as a project lead/subject matter expert for small scale projects/initiatives in accordance with project management methodologies.
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.
Supports the team by continuously enhancing knowledge/expertise in own area and participate in knowledge transfer within the team and business unit.
Keeps current on emerging trends/ developments and grows knowledge of the business, related tools and techniques.
Participates in personal performance management and development activities, including cross training within own team.
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.
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.
Contributes to a fair, positive and equitable environment that supports a diverse workforce.
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally.