Compliance Business Oversight Manager

Work Location Mount Laurel, New Jersey, États-Unis d'Amérique Hours 40 hours per week Pay Details

$91,000 - $145,600 USD

Line Of Business Conformité Job Summary The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction. Depth & Scope Works independently and is accountable for managing a specialized Compliance function or area Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise Provides guidance and support to analysts on matters related to portfolio and specialty Typically a subject matter expert for a key functional Compliance area and business Contact for business management, dealing with non-routine information Manages/assists with regulatory reviews including inquiries, audits, and exams Identifies and leads problem resolution for project/program complex requirements related issues at all levels Education & Experience Undergraduate degree or equivalent work experience 7+ years of experience Preferred Skills And Experience Experience working in an integrated wealth business as a bank subsidiary, with a focus on securities investment management, fiduciary activities, state insurance regulatory requirements and securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers. Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements. Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards for effective compliance management systems. Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements. Skill in using computer applications including MS Office Suite, PowerPoint, Excel, OneDrive, Teams. Ability to independently identify, assess, and escalte issues requiring senior management attention. Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130. Demonstrated business writing abilities. Experience writing policies, policy guidance, procedures, and training. Experience responding to client complaints within a bank or broker-dealer. Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank. FINRA Series 7, 63 and 24 preferred. Customer Accountabilities Proactively advises the business of new and changed Compliance regulatory and/or policy changes Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues Contributes to the development and implementation of Compliance programs Guides partner through the development, implementation, oversight and management of effective Compliance Programs Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance Represents Compliance on internal or external committees relating to designated business activities as required Delivers relevant subject matter expertise and Compliance advice to business management Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate Shareholder Accountabilities Actively assists in developing Compliance Team procedures Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate May provide review and content in the development of annual awareness training Manages the risk assessment process for assigned businesses Protects the interests of the organization, our customers and our communities – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements 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 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 promotes timely communication of issues/points of interest Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business 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 team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships 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 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 Equal Employment Opportunity 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 View email address on click.appcast.io. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. #J-18808-Ljbffr TD