Senior Compliance Testing Analyst

Overview

Description Du Poste

Job 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.

Location:

Markham, Ontario, Canada

Hours:

37.5

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

• 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

Note: This description reflects the responsibilities and qualifications of the role and may be subject to change in accordance with TD policy and business needs.