Compliance Governance & Operations Officer II

Work Location

Burlington, Ontario, Canada

35

Compliance

$52,700 - $74,400 CAD

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  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.

The Compliance Governance & Operations Officer supports and improves TDEF compliance and governance activities. The role provides research, analysis, reporting, and operational support; conducts AML reviews; applies policies and regulatory requirements; and identifies, documents, escalates, and remediates compliance risks and control issues.

The Officer works within established frameworks, exercises sound judgement, provides clear recommendations to management, and collaborates with Compliance, Legal, Operational Risk, and business partners.

Role objective:
Deliver timely, accurate, risk-informed compliance support that strengthens governance, protects the organization, and enables sound decisions.

• Conduct AML reviews of prospective and existing customers under TDEF and TD requirements.
• Gather, validate, and analyze customer, ownership, control, and due diligence information; identify gaps, inconsistencies, or unusual details.
• Apply internal policies, procedures, controls, and regulatory requirements.
• Monitor compliance risks and promptly elevate non-standard, sensitive, high-risk, or unusual matters.
• Track compliance changes and assess potential business and operational impacts.
• Support and improve compliance programs and governance processes.

• Prepare summaries, presentations, briefing notes, communications, and management reports.
• Coordinate requests and follow-ups with Compliance, Legal, Operational Risk, Sales, Credit, Operations, and other partners.
• Support documentation and reporting for governance groups, audits, compliance reviews, and regulatory requests.
• Maintain accurate trackers and status reports for issues, findings, action plans, commitments, and remediation.
• Communicate status, risks, dependencies, and decisions promptly.

• Complete quality control reviews and document evidence-based findings.
• Identify control gaps, process weaknesses, and recurring themes; recommend practical improvements.
• Support issue identification, root-cause analysis, tracking, and remediation.
• Maintain complete, accurate, review-ready records to support audit and compliance outcomes.
• Handle confidential information with discretion and in accordance with requirements.

• Provide first-level guidance on established compliance processes, escalating interpretation questions as needed.
• Support compliance training, communications, job aids, and knowledge transfer.
• Respond to routine compliance and governance inquiries.
• Maintain current knowledge and share relevant updates and lessons learned.

• Help develop and improve procedures, playbooks, manuals, checklists, and governance frameworks.
• Participate in compliance, governance, technology, and process-improvement initiatives.
• Research and analyze gaps, then propose integrated solutions.
• Manage assigned deliverables accurately across multiple priorities and deadlines.

• Working knowledge of compliance, AML/KYC, governance, legal, regulatory, risk, and control environments.
• Understanding of enterprise policies, systems, reporting requirements, and governance frameworks.
• Ability to research, interpret, and summarize requirements and business impacts.
• Strong analytical, organizational, problem-solving, and attention-to-detail skills.
• Sound judgement and ability to provide clear, practical recommendations.
• Effective written and verbal communication, including concise business documentation.
• Ability to build collaborative relationships and provide responsive support.
• Proficiency in Microsoft…