Talent.com
Senior Governance & Control Analyst - Wealth (US)

Senior Governance & Control Analyst - Wealth (US)

TD BankMount Laurel, NJ, US
job_description.job_card.variable_hours_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
job_description.job_card.job_description

Senior Governance & Control Analyst

The Senior Governance & Control Analyst 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. The Senior Governance & Control Analyst will execute testing under the First Line Regulatory Compliance Testing program, primarily supporting US Wealth.

Depth & Scope :

  • SME level professional role requiring in-depth business knowledge / expertise in own domain / field of specialty and working knowledge of broader related areas
  • Integrates the broader organizational context into advice and solutions within own area
  • Understands a certain aspect of the industry, competition and the factors that differentiate the organization
  • Applies best practices to implement process, product or service improvements
  • Leads projects of moderately to complex risk and resource requirements; may lead end-to-end processes or functional programs
  • Contributes to setting standards within area of expertise
  • Solves complex problems requiring analysis of multiple variables, including consultation with multiple stakeholders
  • Uses advanced methods to contribute to new solutions and recommend standards against which others will operate
  • Interprets guidelines, standards, policies and results of analysis to inform decision making at senior levels
  • Works independently as a SME or lead and guides others within area of expertise

Education & Experience :

  • Undergraduate degree preferred
  • Broad and deep knowledge of business and risk and control environment
  • 5+ years of relevant experience
  • Proficient knowledge of governance, risk and control procedures, strategies & tactics
  • Proficient Knowledge of current and emerging trends
  • Skill in mentoring / coaching others
  • Skill in using analytical software tools, data analysis methods and reporting techniques
  • Skill in using computer applications including MS Office
  • Ability to communicate effectively in both oral and written form
  • Ability to work collaboratively and build relationships
  • Ability to work successfully as a member of a team and independently
  • Ability to exercise sound judgment in making decisions
  • Ability to analyze, research, organize and prioritize work while meeting multiple deadlines
  • Ability to process and handle confidential information with discretion

    • Preferred Qualifications :

  • Quality Assurance (QA) or Quality Control (QC) testing experience is ideal.
  • Comprehensive knowledge and experience with US Wealth business.
  • Understands compliance rules, regulations, governance risk and controls.
  • Hiring is dependent on a clean FINRA background review.

    • Customer Accountabilities :

  • Provides specialized business governance and control related advice / support to management / leadership and respective teams for area(s) of specialization
  • Leads on the implementation of governance and control initiatives in support of the overall business / function strategy
  • Manages a set of business governance and control work activities requiring coordination across multiple areas
  • Reviews processes and controls and connects the dots across issues and control deficiencies in order to increase standardization of solutions, processes and controls
  • Supports / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas
  • Provides subject matter expertise to projects / initiatives, and participates in identifying, designing and testing solutions and supporting implementation activities

    • Shareholder Accountabilities :

  • Ensures programs / policies / practices are well-managed, meet business needs / priorities, and comply with internal / external requirements
  • Exercises discretion in managing communication / correspondence, information and all matters of confidentiality
  • Conducts research projects; supports the development / delivery of materials and presentations to management or broader audience
  • Adheres to enterprise frameworks or methodologies that relate to activities for own business area
  • May lead work streams by acting as a project lead / SME for medium-scale projects / initiatives in accordance with project management methodologies
  • Protects the interests of the organization identifies and manages risks, and escalates non-standard, high-risk transactions / activities as necessary
  • Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
  • Is knowledgeable of and complies with Bank Code of Conduct

    • 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 :

    Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100%

  • 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.

    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

    serp_jobs.job_alerts.create_a_job

    Senior Governance Analyst • Mount Laurel, NJ, US