Aml Solutions Developer Specialist - Oracle Ecm Compliance Studio jobs at Td Bank in Canada, Toronto

Job Description

The Country Compliance and Operational Risk (C&OR) Manager is responsible for ensuring the identification, escalation and timely mitigation of compliance and operational risks in the country in alignment with the Global Compliance -- Enterprise Policy, the Operational Risk Management -- Enterprise Policy (collectively “the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs).

The Country C&OR Manager assists in engaging other C&OR officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The Country C&OR Manager assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

This role is responsible for GCOR coverage of the Global Markets business in Canada. The knowledge and expertise to provide second line oversight is crucial to ensuring the firm meets local regulatory requires relating to monitoring and testing and other oversight requirements. Further, this role is responsible for escalations internally from EIT as well as from regulators and for interpreting the application of local laws, rules and regulations and for conducting annual and target risk assessments. Coveraging is for multiple business lines and functions, including but not limited to equity, fixed income and derivatives sales and trading.

Responsibilities

• Assists in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines

• Assists with the oversight of FLU/CF training which may include content development and/or tracking and communication of completion rates

• Assists with the development and maintenance of C&OR-owned policies and standards and/or the oversight of FLU/CF-owned policies, standards and procedures to ensure regulatory and operational risk requirements are appropriately addressed, inclusive of conduct risk as applicable

• Monitors the regulatory environment to identify regulatory changes applicable to area(s) of coverage and maintains a comprehensive regulatory inventory; may support communication of regulatory changes to the FLU/CF and ensuring that policies, standards, procedures and/or processes are appropriately implemented or amended to address regulatory requirements

• Assists in identifying, aggregating, reporting, escalating, inspecting and challenging remediation plans, and performing thematic analysis on FLU/CF-owned issues and control enhancements

• Assists in remediating C&OR “owned” issues and control enhancements

• Contributes to or leads development of risk coverage plans, executes and / or oversees execution of monitoring, testing and risk assessments, communicates results

• Reviews and challenges the regional contributions to Reviews and challenges the FLU/CF process, risk and control inventory and FLU/CF Risk & Control Self-Assessment (RCSA)

• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls

• Supports Scenario Analysis activities for coverage areas and challenges as appropriate

Qualifications

• University degree or equivalent

• Minimum of 5 years’ experience in securities in a financial institution

• Must have compliance experience in futures and fixed income trading

• Compliance experience in equities trading would be an asset

• French language skills would be an asset

• Project management experience

The primary accountabilities for this position are:

• Design and develop new and existing applications
• Responsiblefor producing technical deliverables frominception through to development
• Leverage best practices in development, architecturalprinciples, continuousintegration and delivery
• Assist in technical discussions todrive robust modernizedsolutions for existing and future projects
• Write clean code that ismaintainable, optimized andaligns to best practices
• Ensure that code is properly unit testedand has significant codecoverage
• Proactively explorenew capabilities to drive technology innovations
• Collaborate with business stakeholders to transform requirements into technical requirements
• Work closely withother developers,architects,and SMEs toproduce quality technical solutions that meets the business requirements
• Comply with agile methodology, system development life cycle (SDLC) and project management methodology (PMLC)
• Work effectively as a team, supporting other members of the team
• Adhereto application security standardsand best practices to ensure application is secureand free of

OtherQualifications/Skills/Experience:

• Strong Java and problem solving skills
• 2+ years ofexperience developingjava web applicationsusing Java, Springboot, Spring framework
• Good understanding of RESTful API concept and best practices
• Experience in using web and application servers such as Apache Tomcat
• Good knowledgeofSQL and experiencein using database engines such as MySQL, SQL Server or DB2
• Working experience with testing tools such as:
• Unit testing framework: JUnit, Spring test, Mockito
• Integration testing tools: Postman, SOAP UI
• Ability to understand, develop, enhance, and support highly customizedapplications andAPIs
• Experience inbuilding secure webapplications (Oauth2, JWT and/or Spring security)
• Knowledge of version control systems such as Git or SVN
• Experience with Agile/Scrum development methodologies
• Strong verbal and written communication skills are essential
• Effective time and task management skills, including the ability to manage concurrentdeliverables and workin a fast paced,deadline-oriented environment
• Self-starter, demonstrated ability to take independent action to achieve results
• Ability assist intranslating businessrequirements intotechnical requirements
• A positive can-do attitude with openness to promoting knowledge sharing
• Self-motivated team player with high energy and ability to work independently as well as within a team
• Ability to self-learn new tools quickly to innovate work and success

Nice to Have:

• Experience with Azure Cloud Service
• Experience in working with modern CI/CD tools
• Experience with Kafka

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

KEY ACCOUNTABILITIESCUSTOMER

• Responsible for analyzing a broad range of business requirements, conducting program / system research and analysis to identify key components for solutions delivery and problem resolution
• Develop new applications and perform unit / component test for new application development initiatives aligned to business needs and in accordance with technology architecture standards
• Ensure effective communication of solutions development requirements for respective area and contribute to project plans, estimations, timelines and status updates to support management team / clients on prioritizing new and existing projects against IT requirements and business objectives
• Inform key stakeholders of any issues that may impact other areas of the project and resolve or escalate issues as required
• Support business enquiries and business activities through execution of small enhancements and break / fix implementations (e.g. source code changes)
• Work with Business Analysts / Systems Analysts, other technology Developers / Solution Designers to ensure the configuration and custom components meet application requirements and performance goals

SHAREHOLDER

• Create and maintain quality code, ensure defect free programming consistent with standards; provide code maintenance and support during testing cycles and post-production deployment and participate in reviewing peer coding
• Adhere to standard security coding practices to ensure application is free of most common coding vulnerabilities
• Participate in identifying and recommending development / testing solutions / tools in support of project / application objectives
• Completes unit and integration testing for conformance to standards and adherence to design specifications
• Comply with well-defined enterprise technology delivery practices and standards and project management disciplines by participating in scope assessment, risk and cost analysis
• Assist in the development / maintenance of comprehensive processes for prevention of issues and participate in problem determination and timely resolution of incidents applying appropriate quality measures
• Perform Systems Administration of applications / environments supported by the LOB, monitor application / service performance, perform configuration, backup, authentication & tuning
• Ensure both state-of-health monitoring and monthly SLA targets are in place, and are being met
• Provide technical expertise during Incident management, analyze incident reports and outages, perform impact assessment for incidents and facilitate internal and external communication throughout incident resolution

EMPLOYEE / TEAM

• Continuously enhance knowledge / expertise in own area and keep current with leading-edge technologies, emerging trends/developments and grow knowledge of the business, applications, infrastructure, analytical tools and techniques
• Prioritize and manage own workload in order to deliver quality results and meet timelines as assigned
• Support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency of the business unit and/or team
• Establish effective relationships across multiple business and technology partners, program and project managers
• Participate in knowledge transfer within the team and business units

BREADTH & DEPTH

• Performs complex to difficult technical tasks independently
• Advanced knowledge of technology, tools, various programming languages, processes, and procedures
• Extensive knowledge of the business, enterprise technology areas and / or the organization
• Key subject matter expert who consults with and may lead clients and/or project teams on multiple aspects of development issues
• Works as the senior or lead developer and coaches/guides team members within area of expertise
• Resolves highly complex and multifaceted development related problems
• Typically reports to an IT Manager or above

EXPERIENCE & EDUCATION

• Total Experience: 6-8 years total, with 5–6 years in Spring Boot
• Tech Stack:
• Backend: Java (8+), Spring Boot, REST APIs, Microservices
• Frontend: Angular or React (2+ years)
• Database: Strong SQL skills (MSSQL, MySQL, or Oracle)
• DevOps: Experience with CI/CD, Git, cloud platforms (AWS/Azure/GCP)

Key Responsibilities:

• Design, develop, and maintain scalable applications
• Lead technical discussions and ensure best practices
• Own full feature delivery (design to deployment)
• Troubleshoot and optimize system performance
• Conduct code reviews and mentor team members
• Leadership & Soft Skills:
• Proven team lead experience
• Strong critical thinking and decision-making skills
• Excellent communication and collaboration abilities
• Ownership mindset and ability to work independently

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Job Description:

We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations team. In this role you will be responsible for designing, scaling, building, implementing, and maintaining an adaptive and mature Risk Compliance Management program. You will empower first-line risk owners and compliance oversight functions to build and maintain mature compliance programs. You will be responsible for identifying potential compliance risks and working with relevant teams to develop mitigation strategies. Must have a strong background in drafting compliance frameworks, policies, standards, and procedures as you will play a critical role in creating a well-documented scalable, sustainable, and repeatable global compliance framework. You will oversee and manage the global compliance governance document inventory. In this role you will also lead the development and execution of the strategic annual compliance plan. Must be able to work well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment. Demonstrated experience in risk management, risk compliance self-assessment, program effectiveness assessment, and control design effectiveness assessment also desired.

:

• Support the global Compliance Program in defining and achieving departmental objectives:
  • Design operational risk management plans and the annual compliance strategic plan
  • Develop document retention solutions
  • Create and maintain inventories, libraries, and archival systems
  • Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
  • Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
  • Drive and support the implementation of enterprise-wide transformation projects
  • Perform staffing skills assessments and determine departmental resource gaps
  • Develop and maintain a Roles and Responsibilities matrix
• Take ownership of Compliance Governance Documentation
  • Reviewing, editing, drafting, and maintaining relevant policies and procedures
  • Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
  • Lead the development of a structured approach to policy management to ensure clarity and consistency
  • Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
  • Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
  • Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
  • Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
  • Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
• Lead and draft responses to inquiries from regulators and respond to internal audit findings
• Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
• Strong Project management skills to ensure timelines and deadlines are met
• Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences,
• The ability to work in a team environment
• Performs other duties and responsibilities as assigned

Education & Experience

• J.D. from an accredited law school
• Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
• Prior experience drafting responses and preparing evidence packages for regulators and internal audit
• Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
• Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
• Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
• Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
• Intellectually curious, provides insightful solutions as well as information
• Learns and adapts easily, flexible, and comfortable with ambiguity
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
• Prior project management experience
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic and be a team player
• Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

CUSTOMER

• Develop new solutions as required for engineering programs and projects within assigned area, utilizing Azure Databricks for data processing and analytics.
• Develop new features and perform unit/component testing for new application development initiatives aligned to business needs and in accordance with Azure architecture standards.
• Support business inquiries and activities through execution of small enhancements and break/fix implementations (e.g., source code changes) using Azure Data Factory pipelines and Synapse Analytics.
• Work with technology partners to ensure the configuration and custom components meet application requirements and performance goals, particularly in Azure environments.
• Analyze technical requirements to recommend pragmatic and sound Azure-specific solutions for own area, including coding/story estimates.
• Collaborate with stakeholders and internal technology partners to ensure Azure engineering solutions meet technical direction, requirements, performance, time-to-market, and innovation goals.
• Monitor Azure product lifecycles, ensuring specifications and functionality support business objectives and engineering decisions, undertaking re-development where required.
• Document and verify Azure system components, applications, system infrastructure, security, integration, operability, and engineering-related architecture designs associated with a program or project.
• Participate in quality management reviews, particularly reviews of Azure designs, prototypes, and other requirements work products to ensure they fulfill the requirements.
• Create and maintain quality code, ensuring defect-free programming consistent with Azure standards; provide code maintenance and support during testing cycles and post-production deployment and participate in reviewing peer coding.
• Provide technical expertise during incident management, analyze incident reports and outages, perform impact assessment for incidents, and facilitate internal and external communication throughout incident resolution.
• Assist in thedevelopment/maintenanceof comprehensive processes for prevention of issues and participate in problem determination and timely resolution of incidents applying appropriate quality measures.

SHAREHOLDER

• Adhere to enterprise frameworks or methodologies that relate to Azure software engineering activities.
• Ensure respectiveprograms/policies/practicesare well managed, meet business needs, comply with internal and external requirements, and align with business priorities.
• Collaboratively engage with relevant stakeholders at all levels, both internal and external, to shift from finding defects to proactively preventing defects in Azure solutions.
• Actively seek and support continuous improvement and automation opportunities within Azure engineering practices.
• Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness ofprograms/policies/practices.
• Identify opportunities to minimize cost, provide recommendations, and/or deliver corresponding strategic solutions to support cost-effectiveness and enhance stakeholder experience.
• Conduct code reviews to ensure adherence to quality, standards compliance, reusability, and ease of maintenance, Operational Readiness Reviews, and supporting gating and review sign-offs for Azure solution design.
• Monitor service, productivity, and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist.
• Lead/facilitate and/or implement actions/remediation plans to addressperformance/risk/governanceissues.
• Actively manage relationships within and across various business lines, corporate and/or control functions, and ensure alignment with enterprise and/or regulatory requirements.
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high-risk activities as necessary.
• Keep abreast of emerging Azure issues, trends, and evolving regulatory requirements and assess potential impacts.
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.

EMPLOYEE/TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation, and teamwork, and ensure timely communication of issues/points of interest.
• Provide thought leadership and/or industry knowledge for Azure engineering best practices and participate in knowledge transfer within the team and business unit.
• Keep current on emerging Azure trends/developments and grow knowledge of the business, related tools, and techniques.
• Participate in personal performance management and development activities, including cross-training within own team.
• Keep others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities.
• Actively mentor and enable team members by sharing knowledge and leveraging Azure engineering best practices.
• Support the team by providing guidance and proactively identifying and resolving Azure-related issues.
• Lead, motivate, and develop relationships with internal and external businesspartners/stakeholdersto develop productive working relationships.
• Contribute to a fair, positive, and equitable environment that supports a diverse workforce.
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.

BREADTH & DEPTH

• Advanced knowledge of Azure engineering frameworks, tools, processes, and procedures, as well as organization issues.
• Performs complex to difficult Azure technical tasks independently.
• Advanced knowledge of Azure technologies, tools, various programming languages, processes, and procedures.
• Develops program specifications; adapts, integrates, codes, tests, and debugs Azure programs; and is responsible for executing.
• Uses existing procedures to solve routine problems; makes limited exceptions.
• Generally reports to a Practice Lead.

EXPERIENCE AND/OR EDUCATION

• Undergraduate degree, Postgraduate degree, or Technical Certificate.
• Strong academic background (e.g., computer science, engineering).
• 3-5 years relevant experience in Azure technologies, including Databricks, ADLS, ADF, and Synapse Analytics.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Job Description:

Description

• Review and analyze current network designs to ensure they are in line with TD Standards and Controls
• Work with Project teams to understand and accommodate application architecture and the App’s specific requirements for Azure/GCP networking
• Work with security team to understand and accommodate network security requirements for application
• Work with network engineering team to help them build and troubleshoot Cloud networks (focus on Azure and GCP)
• Define network governance model within an infrastructure as code environment.
• Opine on designs that account for the end-to-end solution of a system that is in line with the business and security objectives, which could include the design of the functional architecture for multiple functions of the enterprise.
• Analyzes the chosen technologies against the implied target state and leverages deep operational knowledge to identify technical and business gaps from a security perspective
• Establish requirements and drive implementation of network monitoring and management infrastructure for both availability and performance management within the content of the overall Azure cloud implementation
• Will require both operational and design skills to help execute the intended architecture in a secure and maintainable way on the Azure/GCP/AWS platforms.
• Review requests for firewall rules and/or security exceptions (e.g. URL filtering exceptions, SSL decryption bypass, Pull Requests). Work with the client to ensure the requests meet the required security standards
• Oversee, monitor, enforce enterprise frameworks and methodologies that relate to technology controls / information security activities
• May be required to provide after-hours support for firewall Rules review.
• Participate in business specific / cross-functional / enterprise initiatives helping to identify risk and provide guidance
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency especially of existing processes
• Participate in the investigation of Information Security Incidents and development ofremediation/preventionmechanisms

Qualifications:

• 10+ years of experience as a full time IT professional
• 3+ years of experience designing and supporting Azure environments, including IaaS and PaaS
• Thorough understanding ofnetworking/firewallingconcepts and network security deployment strategies, including both traditional on premises and cloud deployments.
• This includes a detailed understanding of layers 3/4 and 7.
• Knowledgeable of cloud and hybrid-cloud implementations including IaaS, PaaS and SaaS
• Demonstrable experience deploying enterprise workloads to Azure and/or GCP
• Ability to understand network security standards and effectively apply these as part of network security governance
• Understanding and experience working with Infrastructure As Code – ability to review and understand YAML/JSON files and templates as they pertain to networking. Familiarity with Bitbucket and GitHub is a plus
• Hands on experience using the Azure administration portal
• Understand product offerings from Azure/GCP/AWS and vendor partners
• Have intimate knowledge of Cloud Micro-segmentation and Cloud network automation
• Have intimate knowledge of Azure networking services or and offerings, and best practices and patterns for Azure cloud-native network design, Azure firewall, azure private link, VPN gateways, Network Watcher, Azure Monitor.
• Have intimate knowledge of cloud tools and capabilities (SIEM, SOAR, EDR and similar) and integration requirements required to automate cloud on-boarding and ongoing security operations
• Must have extensive working experience with Microsoft Office technologies
• JIRA experience is a plus

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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