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TD Bank Senior Compliance Governance & Operations Analyst (US) in Falmouth, Maine


Job Title:

Senior Compliance Governance & Operations Analyst (US)

TD Description:

About TD Bank, America's Most Convenient Bank®

TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit Find TD Bank on Facebook at and on Twitter at .

TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit .

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Department Overview:

The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.


United States

Job Requirements:

Undergraduate degree required

Relevant professional designations and/or certifications as requested

5+ years relevant experience

Proficient knowledge of compliance, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements

Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems

Knowledge of risk management environment, standards, and regulations

Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements

Skill in using computer applications including MS Office

Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques

Ability to independently identify, assess, and escalate issues requiring senior management attention

Ability to communicate effectively in both oral and written form

Ability to work collaboratively and build relationships

Ability to work independently and successfully as a member of a team

Ability to lead, plan, implement and evaluate program/project activities to ensure completion of initiatives

Ability to exercise sound judgement in making decisions

Ability to analyze, organize and prioritize work while meeting multiple deadlines

Ability to handle confidential information with discretion

  • Must be eligible for employment under regulatory standards applicable to the position.



Job Description:

Expected to exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory risk matters.

Empowered to make prudent professional decisions in rendering advice and counsel to business lines or assigned areas on compliance matters and regulatory risks which may impact performance of the business and overall enterprise strategies and objectives.

Provides responses to regulatory agencies and Internal Audit. Interacts directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness.

Acts as the primary subject matter expert for certain Compliance Program elements and is expected to make decisions regarding compliance with these Program requirements and to escalate instances of non-compliance.

Works independently as the senior analyst/subject matter expert and may coach and educate others

Oversees and/or independently performs tasks from end to end

Applies expert knowledge of business operations, products, services, methods and operating standards to drive unit or team performance and provides training to other team members based on expert knowledge

Executes on more complex and/or non-standard requests

Researches and investigates a range of operational/reporting/process issues and provides recommendations to senior management across the enterprise (including Global partners)

Recommends and implements solutions within own area of responsibility that impact the strategies and objectives of the Department

Coordinates/integrates work with other areas as needed

Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise

Requires advanced technical/business/function knowledge for discipline supported

High level of complexity in operational/reporting/process and/or analysis function requiring medium to longer term focus

Represents the group as the lead or subject matter expert on projects/initiatives and/or at meetings across the organization


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.


Maine, New Jersey


Falmouth, Mount Laurel

Work Location:

70 Gray Road West Falmouth Crossing, Mt Laurel - Operations Center Bldg 1 - 9000 Atrium Way

Business Line:


Job Category - Primary:

Anti-Money Laundering / Compliance & Regulatory Relations

Job Category(s):

Anti-Money Laundering / Compliance & Regulatory Relations

**Province/State (Primary):


ProvState 2:

New Jersey

City (Primary):


City(s) 2:

Mount Laurel

Job Family:

Compliance Governance and Operations

Time Type:

Full Time

Employment Type:


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