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- Tasks: Lead compliance reporting and manage regulatory communications for a global financial institution.
- Company: Join TD, a leading global bank committed to enriching lives and delivering legendary customer experiences.
- Benefits: Enjoy competitive salary, health benefits, career development, and a supportive work environment.
- Why this job: Make a real impact in compliance while building relationships with key stakeholders globally.
- Qualifications: 3-5 years of relevant experience, strong communication skills, and knowledge of regulations.
- Other info: Dynamic career growth opportunities with comprehensive training and mentorship programs.
The predicted salary is between 36000 - 60000 £ per year.
The mandate of the TD Compliance Department is to manage compliance risk across TD globally to align with the policies established and approved by the TD Board of Directors’ Audit and Risk Committees. It is the Compliance Department’s responsibility, as proactive and trusted advisors to Businesses, to drive a consistent, adaptable and effective culture across the organization so that compliance risks are appropriately mitigated. Compliance Department responsibilities generally are to advise, monitor, and escalate.
The Compliance Officer is an integral part of the TDS UK Compliance department and will lead and support core compliance tasks including but not limited to:
- Own and lead the Compliance reporting process, which includes compiling information from multiple sources and formatting for each unique reporting to local and global governance committees and boards.
- Manage certain FCA communications including submissions and updating the FCA Connect list.
- Preparing and submitting, via coordination with multiple stakeholders, multiple regulatory reporting and notification to various EU and North American regulators.
- Manage / administer the Compliance induction training across the London office.
- Reviewing and updating the Compliance induction training deck at least annually.
- Participate in developing training material for topics on the annual training plan.
- Act as back-up for core monitoring activities including e-communication and voice.
- Manage the Personal Account Dealing inquiries and liaising with the Control Room.
- Participating in policy and procedures review and updates.
- Maintenance of relevant logs and registers including but not limited to the Breach and Conflict of Interest registers.
- Track audit and compliance findings for tracking and reporting purposes.
- Assist as needed on global compliance projects.
- Interact with the front office and support stakeholders and be the point person for multiple core areas.
- Build relationships with key stakeholders locally and globally.
- Assist the team with other tasks as needed.
Minimum of 3-5 years of demonstrated relevant experience in the industry. Knowledge of regulations and industry best practices. Ability to conduct regulatory research. Regulatory experience a plus. Understanding of internal controls framework. Understanding of regulatory rules. Problem solving skills and the ability to work independently. Strong oral and written communication skills. Ability to build and maintain professional relationships with internal and external parties. Audit or Controls experience a plus.
Senior Compliance Business Oversight Analyst in London employer: TD Bank - London Branch
Contact Detail:
TD Bank - London Branch Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Business Oversight Analyst in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for those interviews! Research TD's compliance culture and be ready to discuss how your experience aligns with their values. Practise common interview questions and think of examples that showcase your problem-solving skills.
✨Tip Number 3
Show off your skills! If you have any relevant projects or presentations, bring them along to the interview. This is your chance to demonstrate your knowledge of regulations and internal controls in a tangible way.
✨Tip Number 4
Don’t forget to follow up! After your interview, send a quick thank-you email to express your appreciation for the opportunity. It’s a nice touch that keeps you fresh in their minds and shows your enthusiasm for the role.
We think you need these skills to ace Senior Compliance Business Oversight Analyst in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Senior Compliance Business Oversight Analyst role. Highlight your relevant experience, especially in compliance and regulatory matters, to show us you’re the perfect fit!
Showcase Your Skills: We want to see your problem-solving skills and ability to work independently. Use specific examples from your past experiences that demonstrate these abilities, particularly in compliance or audit roles.
Be Clear and Concise: When writing your application, keep it clear and to the point. We appreciate well-structured documents that are easy to read, so make sure your key points stand out!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. We can’t wait to hear from you!
How to prepare for a job interview at TD Bank - London Branch
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations and compliance best practices. Familiarise yourself with the FCA rules and any recent changes in the industry. This will show that you're not just knowledgeable but also proactive about staying updated.
✨Showcase Your Communication Skills
As a Senior Compliance Business Oversight Analyst, strong communication is key. Prepare to discuss how you've effectively communicated complex compliance issues to various stakeholders in the past. Use specific examples to illustrate your point.
✨Demonstrate Problem-Solving Abilities
Be ready to share instances where you've tackled compliance challenges. Think of situations where you identified a problem, proposed a solution, and successfully implemented it. This will highlight your analytical skills and ability to work independently.
✨Build Relationships
Emphasise your experience in building and maintaining professional relationships. Discuss how you've collaborated with different teams or departments to achieve compliance goals. This shows that you understand the importance of teamwork in a compliance role.