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Compliance Risk Assessment Senior Associate

Company

TD Bank, N.A.

Location

Greenville, United States

Type

Full time

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

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