Senior Compliance Testing Analyst Job Markham area,Ontario Canada,Finance & Banking

Description

Summary

Reporting to a Manager or Senior Manager within Compliance Testing, the Senior Compliance Testing Analyst executes high‑quality governance and oversight for central elements of the Regulatory Compliance Management (RCM) Monitoring and Testing (M&T) program in alignment with methodologies, regulatory expectations, and internal standards. Responsibilities include executing Quality Control Reviews within required timelines, developing and facilitating training on RCM M&T standards and guidelines, completing follow‑ups, providing subject matter expertise, escalating issues appropriately, collaborating with partners, identifying process improvements, and maintaining strong documentation practices.

Key Responsibilities

Monitoring & Testing Execution:

Execute Quality Control Reviews in accordance with established standards to achieve completion within target timelines

Assist in the development of RCM Monitoring and Testing standards, guidelines and processes related to RCM M&T

Develop and facilitate training related to RCM M&T standards, guidelines and processes

Present objective and independent opinion on the adequacy of RCM M&T coverage in accordance with regulatory and internal requirements

Develop senior management reporting for RCM M&T coverage

Coordinate audit and regulatory requests

Assist in special projects/tasks, as required

Stakeholder Engagement & Reporting

Build effective relationships across oversight functions and risk owners

Provide clear, concise analysis and communicate results to management and stakeholders.

Contribute to senior‑level reporting through high‑quality documentation

Process Improvement &

Collaboration:

Support continuous improvement initiatives and share best practices.

Contribute to knowledge transfer and team capability‑building.

Stay current on regulatory changes, industry trends, and internal policy updates.

Promote a positive, collaborative work environment.

Job Requirements

3–5 years of Internal Audit experience, preferably with exposure to design and operating effectiveness testing of controls.

Professional credentials such as CPA or CA; experience from external audit firms considered an asset.

Hands-on end-to-end testing experience, including documenting results, issuing findings and supporting review/oversight with strong quality-of-work standards.

Ability to lead Quality Control Reviews , raise findings, obtain materials efficiently, and prepare clear Quality Control Review reports.

Ability to read and interpret regulations as well as understand how the regulations may impact RCM M&T standards, guidelines and processes.

Exceptional communication skills (both written and verbal) with the ability to draft high quality analyses

Strong attention to detail

Strong organizational skills, with the ability to work in a fast-paced environment and manage multiple deadlines and priorities

#LI-CorporateB

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

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