Senior Compliance Governance Analyst (4561)

TD•Toronto, ON

3d•CA$81,600 - CA$115,200•Onsite

About The Position

The TD Securities Inc. Compliance Department is responsible for the compliance strategy and oversight programs, including identifying and preventing violations of regulatory requirements by both employees and clients. This is accomplished by: Conducting monitoring and surveillance, Providing training and education, Liaising with regulators, Promoting a compliance culture within the firm, Taking preventative measures to ensure compliance with the rules and regulations, Reviewing new business opportunities, such as new products or markets from a compliance perspective. Data governance, reporting and analytics: Support the design and implementation of data governance and Compliance reporting frameworks (inventory, ownership, control design/monitoring, data quality themes, escalation paths). Partner with Technology and Data teams to document end-to-end data processes, define controls/requirements, and embed governance into BAU and change initiatives. Develop and maintain Compliance MI (management information) and dashboards for governance metrics, trends, and performance indicators. Improve reporting infrastructure by standardizing definitions, streamlining data sourcing/validation, and reducing manual reconciliations. Issue management & remediation: Support issue intake, triage, tracking, and reporting for Compliance and control-related issues (including action plans, milestones, dependencies, and evidence). Produce and maintain issue dashboards (status, aging, themes, risk indicators) and prepare concise stakeholder updates for leadership and governance forums. Coordinate with cross-functional owners to ensure remediation plans are documented, monitored, and escalated appropriately where timelines/risks change. Identify common root causes and propose process/control improvements to prevent recurrence. Broader data process involvement / initiatives delivery: Manage multiple concurrent initiatives/workstreams, maintaining timelines, RAID (risks, assumptions, issues, decisions), dependencies, and deliverables. Facilitate working sessions with stakeholders; document decisions, actions, and outcomes; track follow-ups to closure. Draft clear, concise materials for senior stakeholders (updates, KPIs, risks, decisions required) with a Compliance lens. Identify opportunities to automate repeatable manual processes and improve control effectiveness through pragmatic enhancements. EUC governance (End User Computing): Support end-to-end EUC lifecycle management activities: identification/intake, inventory completeness, risk assessment support, controls alignment, and retirement/decommission planning where applicable. Help develop playbooks, templates, and reporting to monitor EUC compliance status, control gaps, and remediation progress. Partner with EUC owners/operators and Technology to reduce EUC risk through strengthened controls, improved documentation, and migration/automation options where feasible.

Requirements

5+ years of experience in Compliance and/or risk management (governance, controls, monitoring/testing, remediation, or regulatory program support), within a financial institution.
Demonstrated experience delivering Compliance enablement initiatives involving reporting, analytics, governance, or control/process improvement in a regulated environment.
Strong hands-on capability with data analysis and reporting tools: advanced Excel (pivoting, Power Query, complex formulas; VBA/macros an asset) and BI tools (Tableau and/or Power BI).
Proven ability to work effectively with Technology and Data partners (requirements, sourcing, validation, controls) and translate stakeholder needs into practical deliverables.
Strong organization and execution skills with the ability to manage competing priorities, tight timelines, and multiple stakeholders.
Excellent written and verbal communication skills, with the ability to summarize complex topics into clear, decision-ready updates.
University degree
Minimum 5 years compliance experience within a financial institution or bank-owned dealer

Nice To Haves

SQL and/or automation experience (e.g., Power Automate, Python) to reduce manual workflows.
Familiarity with issue management tooling/ways of working (e.g., ServiceNow, JIRA/Confluence, Agile delivery)

Responsibilities

Support the design and implementation of data governance and Compliance reporting frameworks.
Partner with Technology and Data teams to document end-to-end data processes, define controls/requirements, and embed governance into BAU and change initiatives.
Develop and maintain Compliance MI (management information) and dashboards for governance metrics, trends, and performance indicators.
Improve reporting infrastructure by standardizing definitions, streamlining data sourcing/validation, and reducing manual reconciliations.
Support issue intake, triage, tracking, and reporting for Compliance and control-related issues.
Produce and maintain issue dashboards and prepare concise stakeholder updates for leadership and governance forums.
Coordinate with cross-functional owners to ensure remediation plans are documented, monitored, and escalated appropriately.
Identify common root causes and propose process/control improvements to prevent recurrence.
Manage multiple concurrent initiatives/workstreams, maintaining timelines, RAID, dependencies, and deliverables.
Facilitate working sessions with stakeholders; document decisions, actions, and outcomes; track follow-ups to closure.
Draft clear, concise materials for senior stakeholders with a Compliance lens.
Identify opportunities to automate repeatable manual processes and improve control effectiveness.
Support end-to-end EUC lifecycle management activities.
Help develop playbooks, templates, and reporting to monitor EUC compliance status, control gaps, and remediation progress.
Partner with EUC owners/operators and Technology to reduce EUC risk through strengthened controls, improved documentation, and migration/automation options where feasible.