Senior Compliance Governance Analyst

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $81,600 - $115,200 CAD

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.

• Support the design and implementation of data governance and compliance reporting frameworks, covering inventory, ownership, control design/monitoring, data quality themes and escalation paths.
• Partner with Technology and Data teams to document end‑to‑end data processes, define controls and requirements, and embed governance into BAU and change initiatives.
• Develop and maintain compliance MI dashboards for governance metrics, trends and performance indicators; standardize definitions, streamline data sourcing/validation and reduce manual reconciliations.
• Support issue intake, triage, tracking and reporting for compliance and control‑related issues; produce issue dashboards, prepare concise stakeholder updates and coordinate with owners to monitor remediation plans.
• Identify root causes and propose process and control improvements to prevent recurrence of issues.
• Manage multiple concurrent initiatives/work streams, maintaining timelines, RAID (risks, assumptions, issues, decisions), dependencies and deliverables; facilitate working sessions, document decisions, actions and outcomes, and track follow‑ups to closure.
• Draft explicit, concise materials for senior stakeholders—including updates, KPIs, risks and decisions required—with a compliance lens.
• Identify opportunities to automate repeatable manual processes and improve control effectiveness through pragmatic enhancements.
• Support end‑to‑end EUC lifecycle management activities: identification/intake, inventory completeness, risk assessment, controls alignment, decommission planning; 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.

• 5+ years of experience in Compliance and/or risk management within a financial institution.
• Demonstrated experience delivering compliance enablement initiatives involving reporting, analytics, governance or control/process improvement in a regulated environment.
• 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, 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., JIRA/Confluence, Agile delivery).

• University degree.
• Minimum 5 years compliance experience within a financial institution or bank‑owned dealer.

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