Senior Compliance Testing Analyst

Work Location:

Markham, Ontario, Canada

37.5

Compliance

$81,600 - $115,200 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.

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.

• 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

• 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

• 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

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