TD
Senior Compliance Business Oversight Analyst. TD Private Client Wealth
TD, Mount Laurel, New Jersey, United States
Job Description
Senior Compliance Business Oversight Analyst. TD Private Client Wealth Overview: TD Bank US Compliance is building a resilient and scalable compliance risk management function. The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice to assigned portfolio, business or function to promote strong compliance controls and processes and to mitigate inherent risks. This role contributes to the development and implementation of Compliance programs related to all aspects of compliance laws. Responsibilities
Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws. Help mitigate risk and ensure the firm meets regulatory obligations. Handle the onboarding and offboarding of new hires. Provide training to the field on various regulatory topics, including onboarding new hire training. Deliver relevant subject matter expertise and Compliance advice to business management. Assist senior compliance managers with regulatory engagements, including on-site exam coordination, document production and maintenance and reporting of related management information. Understand and manage licensing & registrations systems (e.g., FINRA – Gateway), background and fingerprint screening processes, and their downstream impact. Assist business in obtaining study materials and manage and report on examination windows. Prepare and submit required regulatory forms for registering or terminating personnel in accordance with FINRA, SEC, and State laws, rules and requirements. Escalate and help respond to internal inquiries and resolve registration issues with regulators, including state agencies. Keep and maintain supervisory org structure. Review and escalate employee OBA, personal account, and political contribution submissions via internal compliance systems as necessary. Assist with maintenance and implementation of the Firm’s policies & procedures related to broker dealer policies, training materials, and certifications. Various ongoing initiatives and ad-hoc projects, as needed. Education & Experience
Undergraduate degree or equivalent work experience 5+ years of experience Preferred Background & Experience
Experience in regulatory compliance, legal or regulatory functions Solutions-driven, confident, and highly motivated Excellent organizational, project management, strong analytical, and interpersonal skills Team player capable of handling multiple projects simultaneously with integrity and attention to detail Ability to observe the highest degree of confidentiality in handling sensitive information Ability to build and maintain effective working relationships with business, operations, human resources; comfortable communicating with all levels of staff Working knowledge of financial services industry regulations, including registration requirements under FINRA, SEC, and/or state rules Experience with FINRA’s WebCRD registration systems Strong technical proficiency in Windows applications (Excel, Word, PowerPoint) Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements a plus Ability to research, interpret and summarize regulatory expectations, laws, regulations and impacts to Compliance Program elements Proficiency with MS Office Suite including PowerPoint, Excel, OneDrive, Teams Ability to independently identify, assess, and escalate issues requiring senior management attention Demonstrated business writing abilities Experience writing policies, policy guidance, procedures, and training FINRA Series 7 and 63 and 24 preferred Accountabilities
Customer Accountabilities
Assists in the development and implementation of appropriate Compliance policies, processes and controls Facilitates periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework Monitors that assessments are completed and communicated in a timely fashion Guides and supports the assigned portfolio in terms of financial, regulatory and risk management requirements Interacts with control functions within the organization Develops analysis and insights, prepares and delivers management reporting to measure risk factors Shareholder Accountabilities
Updates business line policies and Compliance Team procedures Ensures requirements are properly written into project requirements and approved at appropriate levels Works with business management and internal/external partners to respond to regulatory requests, findings, audits and examinations Keeps abreast of emerging issues and evolving regulatory requirements and assesses impacts Promotes consistency in applying Compliance programs and standards across the enterprise Supports risk exposure assessment, mitigation, and controls for new products, campaigns, and programs Conducts enterprise-wide annual risk assessment for all TD businesses Evaluates risk mitigation efforts as risk factors change Identifies and manages risks and drives timely resolution of escalated issues Employee/Team Accountabilities
Participates as a positive team member and supports service, quality, innovation and collaboration Contributes expertise and knowledge sharing within the team and business Keeps current on trends and developments and grows knowledge of the business and tools Participates in performance management and development activities Keeps others informed about project status and relevant information Mentors others and shares best practices Leads and develops relationships with internal/external partners to foster productive collaboration Supports a diverse and inclusive environment Acts as a brand ambassador for the business area and the bank Physical Requirements
Domestic Travel – Occasional; International Travel – Never Performing sedentary work – Continuous; Performing multiple tasks – Continuous Operating standard office equipment - Continuous Concentrating for long periods; Reading, writing and comprehending instructions; Applying math The above statements describe the general nature and level of work and are not exhaustive. They are considered essential for ADA purposes. Who We Are
TD is a leading global financial institution and the fifth largest bank in North America by branches. We deliver experiences to over 27 million households and businesses and are committed to Be the Better Bank and enriching the lives of customers, communities and colleagues. TD is an equal opportunity employer. If you need accommodations during the application process, email US Workplace Accommodations Program at USWAPTDO@td.com with your name, contact information, and accommodation needs.
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Senior Compliance Business Oversight Analyst. TD Private Client Wealth Overview: TD Bank US Compliance is building a resilient and scalable compliance risk management function. The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice to assigned portfolio, business or function to promote strong compliance controls and processes and to mitigate inherent risks. This role contributes to the development and implementation of Compliance programs related to all aspects of compliance laws. Responsibilities
Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws. Help mitigate risk and ensure the firm meets regulatory obligations. Handle the onboarding and offboarding of new hires. Provide training to the field on various regulatory topics, including onboarding new hire training. Deliver relevant subject matter expertise and Compliance advice to business management. Assist senior compliance managers with regulatory engagements, including on-site exam coordination, document production and maintenance and reporting of related management information. Understand and manage licensing & registrations systems (e.g., FINRA – Gateway), background and fingerprint screening processes, and their downstream impact. Assist business in obtaining study materials and manage and report on examination windows. Prepare and submit required regulatory forms for registering or terminating personnel in accordance with FINRA, SEC, and State laws, rules and requirements. Escalate and help respond to internal inquiries and resolve registration issues with regulators, including state agencies. Keep and maintain supervisory org structure. Review and escalate employee OBA, personal account, and political contribution submissions via internal compliance systems as necessary. Assist with maintenance and implementation of the Firm’s policies & procedures related to broker dealer policies, training materials, and certifications. Various ongoing initiatives and ad-hoc projects, as needed. Education & Experience
Undergraduate degree or equivalent work experience 5+ years of experience Preferred Background & Experience
Experience in regulatory compliance, legal or regulatory functions Solutions-driven, confident, and highly motivated Excellent organizational, project management, strong analytical, and interpersonal skills Team player capable of handling multiple projects simultaneously with integrity and attention to detail Ability to observe the highest degree of confidentiality in handling sensitive information Ability to build and maintain effective working relationships with business, operations, human resources; comfortable communicating with all levels of staff Working knowledge of financial services industry regulations, including registration requirements under FINRA, SEC, and/or state rules Experience with FINRA’s WebCRD registration systems Strong technical proficiency in Windows applications (Excel, Word, PowerPoint) Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements a plus Ability to research, interpret and summarize regulatory expectations, laws, regulations and impacts to Compliance Program elements Proficiency with MS Office Suite including PowerPoint, Excel, OneDrive, Teams Ability to independently identify, assess, and escalate issues requiring senior management attention Demonstrated business writing abilities Experience writing policies, policy guidance, procedures, and training FINRA Series 7 and 63 and 24 preferred Accountabilities
Customer Accountabilities
Assists in the development and implementation of appropriate Compliance policies, processes and controls Facilitates periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework Monitors that assessments are completed and communicated in a timely fashion Guides and supports the assigned portfolio in terms of financial, regulatory and risk management requirements Interacts with control functions within the organization Develops analysis and insights, prepares and delivers management reporting to measure risk factors Shareholder Accountabilities
Updates business line policies and Compliance Team procedures Ensures requirements are properly written into project requirements and approved at appropriate levels Works with business management and internal/external partners to respond to regulatory requests, findings, audits and examinations Keeps abreast of emerging issues and evolving regulatory requirements and assesses impacts Promotes consistency in applying Compliance programs and standards across the enterprise Supports risk exposure assessment, mitigation, and controls for new products, campaigns, and programs Conducts enterprise-wide annual risk assessment for all TD businesses Evaluates risk mitigation efforts as risk factors change Identifies and manages risks and drives timely resolution of escalated issues Employee/Team Accountabilities
Participates as a positive team member and supports service, quality, innovation and collaboration Contributes expertise and knowledge sharing within the team and business Keeps current on trends and developments and grows knowledge of the business and tools Participates in performance management and development activities Keeps others informed about project status and relevant information Mentors others and shares best practices Leads and develops relationships with internal/external partners to foster productive collaboration Supports a diverse and inclusive environment Acts as a brand ambassador for the business area and the bank Physical Requirements
Domestic Travel – Occasional; International Travel – Never Performing sedentary work – Continuous; Performing multiple tasks – Continuous Operating standard office equipment - Continuous Concentrating for long periods; Reading, writing and comprehending instructions; Applying math The above statements describe the general nature and level of work and are not exhaustive. They are considered essential for ADA purposes. Who We Are
TD is a leading global financial institution and the fifth largest bank in North America by branches. We deliver experiences to over 27 million households and businesses and are committed to Be the Better Bank and enriching the lives of customers, communities and colleagues. TD is an equal opportunity employer. If you need accommodations during the application process, email US Workplace Accommodations Program at USWAPTDO@td.com with your name, contact information, and accommodation needs.
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