Senior Compliance Business Oversight Analyst

**Work Location**: London, United Kingdom

**Hours:** 35

**Line of Business:** Compliance

**Job Description:** 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.

**Qualifications:** 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.

**Our Total Rewards Package:** Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

**Additional Information:** We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

**Colleague Development:** If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

**Training & Onboarding:** We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

**Interview Process:** We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

**Accommodation:** If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

**Our Values:** At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior.

**Our Commitment to Diversity, Equity, and Inclusion:** At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported.

**Helping to Make an Impact in Communities – TD Ready Commitment:** TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future.