Senior Compliance Governance Analyst (4561)

Work Location:

Hours:

Line of Business:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Department Overview

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

Job Description

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.

Job 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.

• Nice to have 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)

Education and Accreditation

• University degree

• Minimum 5 years compliance experience within a financial institution or bank-owned dealer

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!

Language Requirement (Quebec only):