Risk Analyst - 2LoD Controls Testing and Oversight

Governance & Control Analyst III

The Governance & Control Analyst III provides specialized business governance and control guidance and support for a business or functional area and implements policies/processes and/or initiatives to meet business governance and control objectives. May provide complex reporting, analysis, testing and assessments at the functional or enterprise level and is generally a lead or SME for a given area/function.

TD Bank is guided by the Three Lines of Defense (LOD) Risk Framework:
Risk Ownership (1

LOD), Risk Oversight (2

LOD), and Internal Audit (3

LOD). The second line is independent of the business and provides policies, standards, and methodologies, with the authority to assess and challenge the first line to ensure adherence to those standards. In this role, you will support the execution of independent 2

LOD controls testing across business processes and technology platforms, and contribute to regulatory and internal risk reporting.

The Risk Analyst is responsible for supporting the execution of independent Second Line of Defense (2

LoD) testing and validation programs across regulatory reporting, internal risk reporting, data risk management, and liquidity and capital risk management. This role provides independent review and challenge of First and Second Line processes, controls, data, and reporting practices to assess compliance with regulatory requirements, internal standards, and industry-leading practices. Responsibilities include evaluating end-to-end data lineage, data transformations, calculation methodologies, control frameworks, and reporting governance to validate the integrity, accuracy, and regulatory compliance of risk management and reporting processes.

The ideal candidate has hands-on experience and knowledge of controls testing, root cause analysis, operational risk management, regulatory reporting requirements, and liquidity and capital risk management. The Risk Analyst is expected to work with a team of testing professionals as well as stakeholders across business, risk, finance, technology, and data management functions.

Employee/Team Accountabilities:

• Participates as a member of the team, supports a positive work environment and ensures timely communication
• Supports team by regularly enhancing knowledge/expertise in own area and participates in knowledge transfer
• Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
• Keeps others informed about the status/progress of projects
• Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
• Contributes to a fair, positive and equitable environment
• Acts as a brand ambassador for your business area/function and the Bank

Physical Requirements:

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.