93 Safety Measures jobs in the United States

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.
In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
The anticipated salary range for this role is between $163,000.00 and $250,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.
**Role Description**
The results of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified.
This role will include conducting compliance risk assessments of certain U.S. legal entities in the role of subject matter expert ("SME") as well as managing other SMEs outside of the CRA team in their conduct of compliance risk assessments for the legal entities they cover (primarily non-U.S. entities). The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd line of defense ("2LOD") subject matter experts to assess relevant compliance risks and controls.
The scope of this function will encompass SMBC Group's Americas Division, inclusive of U.S. broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; U.S. and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking and trading subsidiary; and Mexican non-bank leasing affiliate.
The candidate should have a track record of successfully managing projects as well as a strong risk management / internal control mindset to assess compliance risks and controls. Additionally, strong knowledge of either U.S. securities/commodities laws and regulations (SEC, CFTC, FINRA) or U.S. banking regulations (e.g., Federal Reserve) and relevant products and services is essential.
**Role Objectives**
+ Manage comprehensive range of program management matters and supports prioritization, scope of work and deliverables related to the CRA program.
+ Assist Head of Risk and Control Assessment and CRA Program Lead in managing the CRA process, including ensuring required tasks are completed in a timely manner and that CRA team retains all required documentation.
+ Assist with the continuous enhancements to the design and methodology of the CRA framework for SMBC Americas Division.
+ Track status of initiative, projects, and milestones and circulate information in weekly and monthly status reports, as needed, including escalating to management and relevant stakeholders on potential issues.
+ Oversee execution of the book of work, budgets and change program with accountable stakeholders and technology partners, including handling day-to-day matters to ensure responsibilities are clear and milestones are being met according to plans.
+ Develop, document, and maintain tracking and reporting tools (through SharePoint, Excel, etc.) to facilitate effective and efficient management status reporting for development and maintenance of GRC and CRA related programs.
+ Work with CRA team to execute compliance risk assessments of various U.S. entities according to candidate's skills set (e.g., broker dealer or lending).
+ Learn how to utilize newly implemented CRA technology solution and provide training to subject matter experts outside the CRA team who are required to use the tool.
+ Assist in the presentation of CRA results to senior 1LOD and 2LOD management, including an overview of the level of compliance risk and the strength of relevant controls.
+ Help develop risk dashboards designed to identify the regulatory compliance risk profile on an ongoing basis.
+ Support the integration of the CRA results with the activities of the Compliance Department, including with respect to documenting key controls as well as driving monitoring and testing plans.
**Qualifications and Skills**
+ Bachelor's Degree required; JD or MBA is a strong plus (but not required).
+ Minimum of 15 years of prior regulatory, compliance, project management and/or risk management experience.
+ Experience managing projects, creating project plans, tracking statuses, and reporting issues to management.
+ Functional knowledge of either U.S. banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA, NFA) and related products and services.
+ Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses or conducting Compliance Risk Assessments is a strong plus.
+ Strong interpersonal and communications skills (written and verbal) to successfully interface with all levels of management and maintain solid working relationships in a collaborative group environment.
+ Demonstrated track record of successfully managing projects and utilizing project management documentation and reporting tools (SharePoint, PowerPoint, Excel, etc.)
+ Ability to manage multiple projects simultaneously and re-prioritize workloads as necessary.
+ Strong analytical skills to understand project goals and interpret them into meaningful action.
+ Ability to analyze results and identify trends / forecasting using resultant data and other available metrics (e.g., KPI, KRIs, etc.) while promoting measures to mitigate regulatory compliance risk.
SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at

**Job Family** **:**
Cyber Consulting
**Travel Required** **:**
None
**Clearance Required** **:**
Active Secret
**What You Will Do** **:**
+ Provide cybersecurity analysis support in the delivery of detailed enterprise cybersecurity risk analysis and reporting project with a large federal agency; leverage advanced critical thinking capabilities to identify organizational cybersecurity risks and impacts. _Note:_ _This work is not related to the Assessment and Authorization (A&A) process._
+ Prepare for enterprise cybersecurity risk assessments by performing detailed organizational research and analysis to determine potential business impacts to mission objectives.
+ Conduct Tier 1 (organization) and Tier 2 (business/mission) level cybersecurity risk assessments in accordance with NIST Federal Information Processing Standards and Special Publications, OMB guidance, DHS Binding Operational Directives, and other regulatory authorities.
+ Perform detailed quantitative and qualitative organizational research and analysis regarding cybersecurity risks (threats, vulnerabilities, likelihood, and impact).
+ Identify and develop detailed actionable recommendations for remediating cybersecurity risks in alignment with the organization's defined risk tolerances and risk threshold.
+ Gather threat and vulnerability information from internal and external information sharing forums and sources.
+ Communicate cybersecurity risk assessment results through written narrative reports and executive-level presentations
+ Identify, coordinate, track remediation, and monitor risk exposures; identify and communicate trends in data
+ Evaluate cybersecurity program effectiveness in identifying, managing, and reducing risk.
+ Collaborate cross-functionally with internal analysts and engage external stakeholders to build awareness of cybersecurity risk assessment initiatives.
**What You Will Need** **:**
+ An ACTIVE and CURRENT SECRET federal security clearance.
+ Bachelor's Degree AND FOUR (4) years of relevant experience OR Master's Degree AND TWO (2) years of relevant experience.
+ Excellent verbal and written communication skills, specifically in report writing.
**What Would Be Nice To Have** **:**
+ CRISC, CISSP or a Cyber Security AI certification
+ Experience with NIST Federal Information Processing Standards and Special Publications, OMB guidance, and other regulatory authorities.
+ Experience working for or with the Department of State.
+ Demonstrated experience in the areas of external client-facing management and/or consulting for large firms.
+ Demonstrated experience communicating highly technical subject matter to a non-technical audience.
+ Ability to thrive in complex, challenging, and deadline-driven environments.
+ Willingness to participate in proposal development and other business development activities.
The annual salary range for this position is $113,000.00-$188,000.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs.
**What We Offer** **:**
Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace.
Benefits include:
+ Medical, Rx, Dental & Vision Insurance
+ Personal and Family Sick Time & Company Paid Holidays
+ Position may be eligible for a discretionary variable incentive bonus
+ Parental Leave and Adoption Assistance
+ 401(k) Retirement Plan
+ Basic Life & Supplemental Life
+ Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts
+ Short-Term & Long-Term Disability
+ Student Loan PayDown
+ Tuition Reimbursement, Personal Development & Learning Opportunities
+ Skills Development & Certifications
+ Employee Referral Program
+ Corporate Sponsored Events & Community Outreach
+ Emergency Back-Up Childcare Program
+ Mobility Stipend
**About Guidehouse**
Guidehouse is an Equal Opportunity Employer-Protected Veterans, Individuals with Disabilities or any other basis protected by law, ordinance, or regulation.
Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco.
If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation.
All communication regarding recruitment for a Guidehouse position will be sent from Guidehouse email domains including @guidehouse.com or . Correspondence received by an applicant from any other domain should be considered unauthorized and will not be honored by Guidehouse. Note that Guidehouse will never charge a fee or require a money transfer at any stage of the recruitment process and does not collect fees from educational institutions for participation in a recruitment event. Never provide your banking information to a third party purporting to need that information to proceed in the hiring process.
If any person or organization demands money related to a job opportunity with Guidehouse, please report the matter to Guidehouse's Ethics Hotline. If you want to check the validity of correspondence you have received, please contact . Guidehouse is not responsible for losses incurred (monetary or otherwise) from an applicant's dealings with unauthorized third parties.
_Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee._

Our client is seeking a highly motivated and experienced Senior Risk Assessment Analyst to join their dynamic team in Columbus, Ohio, US . This role is crucial in identifying, evaluating, and mitigating potential risks across various business units, ensuring the financial health and operational stability of the organization. The ideal candidate will possess a strong analytical mindset, exceptional problem-solving skills, and a deep understanding of insurance industry regulations and best practices. You will be responsible for developing and implementing comprehensive risk management frameworks, conducting regular risk assessments, and providing strategic recommendations to senior leadership. This includes analyzing market trends, economic factors, and regulatory changes that may impact the company's risk profile. You will also play a key role in developing risk mitigation strategies and contingency plans, and collaborating with cross-functional teams to embed risk awareness throughout the organization. Furthermore, you will contribute to the development and maintenance of risk models, ensuring their accuracy and effectiveness. The role involves preparing detailed reports on risk exposures and mitigation efforts for executive review. A Bachelor's degree in Finance, Economics, Actuarial Science, or a related field is required, along with a minimum of 5 years of experience in risk management within the insurance sector. Professional certifications such as PRM, FRM, or CPCU are highly desirable. Excellent communication and presentation skills are essential for interacting with stakeholders at all levels. This is a fantastic opportunity to make a significant impact in a leading insurance firm, working in a collaborative environment that fosters professional growth. The position offers competitive compensation, benefits, and opportunities for career advancement. Join us and help shape the future of risk management for our client. The hybrid work model allows for a balance between in-office collaboration and remote flexibility, ensuring a productive and engaging work experience within the Columbus, Ohio, US area.

This position requires an individual with 5 - 10 years experience in industrial machine safety, including machine safeguarding, risk assessment, or occupational health and safety. The job involves leading a wide variety of incident investigations, including accident reconstruction. Projects require field work, investigation, analysis, report development and legal testimony. The candidate should have a successful history of legal testimony at deposition, trial, or other legal venues. The candidate should have experience managing projects of moderate to substantial complexity and/or size. Established set of existing client projects highly preferred.

The candidate will provide safety expertise as part of a multi-disciplinary team evaluating accidents of various types in industrial settings and conducting risk assessments of varying scopes. Independent work and collaboration in a team environment is anticipated. The candidate will be responsible for planning, directing and coordinating activities of small- to large-scale consulting projects to ensure that goals and objectives are accomplished within prescribed timing and financial constraints by performing duties personally or in conjunction with other consultants. The candidate will assist in all phases of project management from proposal through closing. General duties will include organizing staffing and logistics, developing work plans, and conducting technical analysis based on principles of science and engineering. Work will include review of existing scientific literature and standards, and the performance or supervision of original research to obtain and analyze relevant technical data. The candidate will interface directly with clients, assessing client needs, establishing performance timelines, developing budgets, and explaining complex technical concepts in lay terms. Professional certifications (if applicable) and a good publication/presentation record are required.

Key Responsibilities:

• Evaluates root causes in industrial and recreational accidents, including issues regarding machine safeguarding, risk reduction, control of hazardous energy (lockout-tagout), engineering controls, robotics, and the like.
• Identifies and reviews existing media (e.g., photographs, video, witness statements, depositions, police and OSHA reports, etc.) to develop preliminary conclusions and plan further investigation.
• Conducts inspections of accident scenes and of involved or exemplar machines, safety equipment, consumer products, and other items as needed.
• Locates, assesses pertinence of, and applies consensus safety standards, scientific literature, existing test data, and governmental regulations.
• Designs and conducts testing and/or develops models to obtain and evaluate machine performance or human factors data
• As part of a team, conducts risk assessments or job safety analyses for a variety of products and industrial machines.
• Prepares written reports and verbal presentations of findings and conclusions in clear, concise, and easy-to-understand terms.
• Provides legal testimony in a variety of venues, including courtroom settings.
• Manages client projects including collaboration with and delegation of tasks to other engineers and support staff.
• Works with Business Development to identify potential clients and strategies to build client base.
• Performs other duties as assigned.

Education Requirements:

• Bachelor's degree in Mechanical Engineering, Industrial Engineering or related field.
• Master's degree or Ph.D. in Mechanical Engineering, Industrial Engineering or related field highly preferred.

Experience Requirements:

• 5 - 10 years work (and/or equivalent academic experience) in industry or safety consulting position.
• Experience working in manufacturing or machine design, teaching experience, and/or in-depth knowledge of engineering controls or risk assessment methodology.
• Authoring of high-quality technical reports and/or peer-reviewed publications.
• Preferred experience in consulting industry.
• Experience providing expert testimony is highly desirable.

Certificates, Licenses, Registrations:

• Licensed Professional Engineer (P.E.) or Certified Safety Professional (C.S.P.) highly preferred.

Computer Skills:

• Full competency in Office productivity software, advanced skills in technical computing environments and statistical software.

Compensation will be made up of a competitive base salary as well as bonus potential determined by your own individual performance and the performance of the organization overall.

Physical Demands:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is occasionally required to stand, walk, climb stairs and ladders, and sit. Site inspections may require that employees stand, walk, carry tools, and/or work from an elevated position for extended periods of time.

Work Environment:

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The noise level in the work environment is usually moderate. Noise levels at project sites are variable, and may be loud enough to require hearing protection.

To all recruitment agencies: ESi does not accept unsolicited resumes from search firms or agencies. Any resume submitted to any employee of ESi without a prior written search agreement will be considered unsolicited and the property of ESi. Please, no phone calls or emails.

It is the policy of ESI, as an equal opportunity employer, to attract and retain the best qualified individuals available, without regard to race/ethnicity, color, religion, national origin, gender, sexual orientation, age, disability, or veteran status. ESI is committed to recruiting, hiring, and promoting people with disabilities, as well as veterans. If you need assistance with completing the electronic application, please email your request to employment@

#J-18808-Ljbffr

**Work Location:**
New York, New York, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**Why Work with Us?**
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.
**The Ideal Candidate**
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.
Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
**Role Description:**
+ Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
+ Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
+ Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
+ Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
+ Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
+ Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
+ Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
+ Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential.
**Please review Desired Skills and Experience below as you consider this opportunity. The above details are specific to the role which is outlined in the general job profile summary below.**
_Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances._
**Job Profile 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 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
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 5+ years of experience
**Desired Skills & Experience**
+ Minimum of 5 years of prior regulatory, compliance, and/or risk management experience
+ Familiarity with conducting a Compliance Risk Assessment preferred
+ Experience working with top tier banks in large scale, cross-functional regulatory remediation
+ Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
+ Excellent written, verbal and analytical skills
+ Highly motivated, strong attention to detail, team oriented, organized
+ Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
+ Ability to work collaboratively with cross-functional partners across the three lines of defense
+ Demonstrates advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite
**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 of presentations/communications to 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 of programs/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.
#LI-AMCBCorporate
**Who We Are:**
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
**Our Total Rewards Package**
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive 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. Learn more ( 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. 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.
**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**
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Description**
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
Enterprise Data Management & Products (EDMP), a key part of our Technology organization, focuses on delivering data products that fuel business growth and unlock value, while also shaping robust data management strategies and governance solutions. Our aim is to propel growth, unlock potential, enhance efficiency, manage risk, and foster talent. By prioritizing enterprise growth across all sectors, we create solutions that enhance satisfaction and value, streamline operations for scalability, and maintain trust and security.
The Privacy Risk Manager will be an integral part of the team supporting the development for the Global Privacy Center of Excellence, facilitating privacy processes, and deliverables, promoting awareness, collaboration, and engagement, and helping identify and manage risk.
**Responsibilities:**
+ Work with partners to enhance assessment of enterprise-wide privacy risk in alignment with organizational best practices
+ Identify best practices for assessing and monitoring privacy risk to drive enterprise continuity across different regions and business units
+ Enhance user guidance for privacy risk, including control guidance, and training for business stakeholders
+ Collaborate with other teams to integrate privacy risk activities across existing processes and tools
+ Serve as the subject matter expert for identifying and implementing controls to manage privacy risk
+ Serve as the subject matter expert for identifying, documenting, and assessing privacy risk
+ Establish and socialize guidance document changes, as well as mapping changes to internal and external regulatory key milestones
**Qualifications:**
+ A strong strategic approach with 5 years prior experience including process improvement in privacy risk
+ Experience enhancing and uplifting privacy-related processes across an Enterprise or local level for a financial services company
+ Track record of being able to be a subject matter expert and using enterprise-thinking to quickly identify areas of improvement
+ High degree of organization, individual initiative and personal accountability and resiliency.
+ Excellent communication skills with a demonstrated ability to engage, influence, and
+ encourage partners and stakeholders to drive collaboration and alignment.
+ Proven ability to manage multiple demands successfully within a matrixed organization.
+ Enjoys solving large and complicated problems.
+ Ability maintain a positive, 'can-do' attitude
**Qualifications**
Salary Range: $90,000.00 to $165,000.00 annually bonus benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ 6% Company Match on retirement savings plan
+ Free financial coaching and financial well-being support
+ Comprehensive medical, dental, vision, life insurance, and disability benefits
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.
**Job:** Product
**Primary Location:** US-New York
**Other Locations:** US-North Carolina
**Schedule** Full-time
**Req ID:**

**Description**
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
Enterprise Data Management & Products (EDMP), a key part of our Technology organization, focuses on delivering data products that fuel business growth and unlock value, while also shaping robust data management strategies and governance solutions. Our aim is to propel growth, unlock potential, enhance efficiency, manage risk, and foster talent. By prioritizing enterprise growth across all sectors, we create solutions that enhance satisfaction and value, streamline operations for scalability, and maintain trust and security.
The Privacy Risk Manager will be an integral part of the team supporting the development for the Global Privacy Center of Excellence, facilitating privacy processes, and deliverables, promoting awareness, collaboration, and engagement, and helping identify and manage risk.
**Responsibilities:**
+ Work with partners to enhance assessment of enterprise-wide privacy risk in alignment with organizational best practices
+ Identify best practices for assessing and monitoring privacy risk to drive enterprise continuity across different regions and business units
+ Enhance user guidance for privacy risk, including control guidance, and training for business stakeholders
+ Collaborate with other teams to integrate privacy risk activities across existing processes and tools
+ Serve as the subject matter expert for identifying and implementing controls to manage privacy risk
+ Serve as the subject matter expert for identifying, documenting, and assessing privacy risk
+ Establish and socialize guidance document changes, as well as mapping changes to internal and external regulatory key milestones
**Qualifications:**
+ A strong strategic approach with 5 years prior experience including process improvement in privacy risk
+ Experience enhancing and uplifting privacy-related processes across an Enterprise or local level for a financial services company
+ Track record of being able to be a subject matter expert and using enterprise-thinking to quickly identify areas of improvement
+ High degree of organization, individual initiative and personal accountability and resiliency.
+ Excellent communication skills with a demonstrated ability to engage, influence, and
+ encourage partners and stakeholders to drive collaboration and alignment.
+ Proven ability to manage multiple demands successfully within a matrixed organization.
+ Enjoys solving large and complicated problems.
+ Ability maintain a positive, 'can-do' attitude
**Qualifications**
Salary Range: $90,000.00 to $165,000.00 annually bonus benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we'll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ 6% Company Match on retirement savings plan
+ Free financial coaching and financial well-being support
+ Comprehensive medical, dental, vision, life insurance, and disability benefits
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the " Know Your Rights " poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.
**Job:** Product
**Primary Location:** US-New York
**Other Locations:** US-North Carolina
**Schedule** Full-time
**Req ID:**

**Work Location:**
New York, New York, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**Why Work with Us?**
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.
**The Ideal Candidate**
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.
Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
**Role Description:**
+ Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
+ Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
+ Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
+ Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
+ Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
+ Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
+ Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
+ Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential.
**Please review Desired Skills and Experience below as you consider this opportunity. The above details are specific to the role which is outlined in the general job profile summary below.**
_Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances._
**Job Profile 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 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
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 5+ years of experience
**Desired Skills & Experience**
+ Minimum of 5 years of prior regulatory, compliance, and/or risk management experience
+ Familiarity with conducting a Compliance Risk Assessment preferred
+ Experience working with top tier banks in large scale, cross-functional regulatory remediation
+ Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
+ Excellent written, verbal and analytical skills
+ Highly motivated, strong attention to detail, team oriented, organized
+ Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
+ Ability to work collaboratively with cross-functional partners across the three lines of defense
+ Demonstrates advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite
**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 of presentations/communications to 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 of programs/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.
#LI-AMCBCorporate
**Who We Are:**
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
**Our Total Rewards Package**
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive 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. Learn more ( 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. 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.
**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**
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
New York, New York, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**Why Work with Us?**
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.
**The Ideal Candidate**
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.
Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
**Role Description:**
+ Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
+ Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
+ Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
+ Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
+ Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
+ Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
+ Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
+ Possesses functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential.
**Please review Desired Skills and Experience below as you consider this opportunity. The above details are specific to the role which is outlined in the general job profile summary below.**
_Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances._
**Job Profile 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 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
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 5+ years of experience
**Desired Skills & Experience**
+ Minimum of 5 years of prior regulatory, compliance, and/or risk management experience
+ Familiarity with conducting a Compliance Risk Assessment preferred
+ Experience working with top tier banks in large scale, cross-functional regulatory remediation
+ Familiarity with laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
+ Excellent written, verbal and analytical skills
+ Highly motivated, strong attention to detail, team oriented, organized
+ Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
+ Ability to work collaboratively with cross-functional partners across the three lines of defense
+ Demonstrates advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite
**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 of presentations/communications to 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 of programs/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.
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**Who We Are:**
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
**Our Total Rewards Package**
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive 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. Learn more ( 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. 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.
**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**
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.