Td Bank Senior Privacy Compliance Analyst United States, New Jersey 4344259
Department Overview:
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
The above details are specific to the role which is outlined in the general description below.
Job Summary:
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.
Depth & Scope:
- 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 ofoperational/reporting/processissues 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/integrateswork with other areas as needed
- Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
- Requires advancedtechnical/business/functionknowledge for discipline supported
- High level of complexity inoperational/reporting/processand/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
Education & Experience:
- Undergraduate degree or equivalent work experience
- 5+ years of experience
Desired Skills and Experience:
- Legal/ Paralegal experience with strong analytical skills with a keen eye for detail
- Strong legal research and writing skills, including excellent verbal and written communication abilities
- Ability to work independently while collaborating effectively with cross-functional teams
- Proactive approach to identifying and mitigating privacy risks
- Experience conducting risk assessments including Privacy risks
- Familiarity with data privacy technologies and tools
- Have a burning desire to learn and adapt
- Privacy law/risk experience; certifications (e.g., CIPP, CIPM, CIPT) are a plus
Customer Accountabilities:
- Provides Compliance research, evaluation, operational, reporting and/or analytical support in oversight and control function to internal (Compliance) partners, in a timely manner
- Coordinates requests to and from, business (Compliance) partners and coordinates tracking and reporting of Compliance function initiatives and programs
- Prepares and delivers summaries, communications, reports and presentations for management, regulators, and other internal and external stakeholders
- Recommends responses to enterprise Compliance Program questions and immediately escalates any sensitive issues according to departmental procedures
- Analyzes data and draw conclusions to meet program health reporting requirements
- Analyzes emerging trends pertaining to regulatory changes, reporting or other departmental functions and provides recommendations to enhance or rectify Compliance - related gaps, issues and enhancements
- Proactively identifies matters requiring additional review, escalation, and liaises with appropriate staff to resolve, as appropriate
Shareholder Accountabilities:
- Contributes to various activities and processes as assigned
- Adheres to enterprise frameworks or methodologies that relate to activities for own business area
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
- Be knowledgeable of practices and procedures within own area of responsibility and keeps abreast of emerging trends for own functional area
- Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk activities as necessary
- Conducts internal and external research projects; supports the development/delivery ofpresentations/communicationsto management or broader audience
- Conducts reporting and/or meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness ofprograms/policies/practices
- Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
- Acquires and applies expertise in the discipline, provides guidance, assistance and direction to others
- Identifies, recommends and effectively executes standard practices applicable to the discipline
- Adheres to internal policies/procedures and applicable regulatory guidelines
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
- May lead work streams by acting as a project lead/subject matter expert for small scale projects/initiatives in accordance with project management methodologies
Employee/Team Accountabilities:
- Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interest
- Supports the team by continuously enhancing knowledge/expertise in own area and participate in knowledge transfer within the team and business unit
- Keeps current on emerging trends/ developments and grows knowledge of the business, related tools and techniques
- Participates in personal performance management and development activities, including cross training within own team
- Keeps 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
- Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
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.
Our Total Rewards Package
awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
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.
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