TD
Overview
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 is about creating a culture of compliance that will cascade throughout the organization. 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. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. A strong entrepreneurial mindset, ability to work with ambiguity, and comfort in a dynamic environment are essential as the US Compliance team redefines the bank\'s compliance program and structure. As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will oversee regulatory adherence and risk management within our bank, supporting the development and maintenance of the firm\'s compliance policies and procedures and providing training and guidance as needed.
Responsibilities
Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws Assist in regulatory requests and exams and manage responses to State, FINRA, and SEC inquiries Mitigate risk and ensure the firm meets regulatory obligations Develop, implement, and maintain the firm\'s compliance policies and procedures Partner with operations, technology, and business teams to ensure regulatory compliance Develop and prepare compliance reports on risks and trends Serve as a compliance resource across the firm and participate in cross-functional meetings and committees Identify departmental risks and contribute to strategic planning Oversee business case initiatives and compliance-related technology requests Provide training on regulatory topics, including onboarding new hire training Deliver expert compliance advice to business management Monitor changes in applicable laws and regulations and advise senior management on impacts and required actions Conduct periodic compliance testing, surveillance, and risk assessments Provide backup support to other areas of US Wealth Compliance Participate in other initiatives as needed
Qualifications
Undergraduate degree or equivalent work experience 7+ years of experience
Preferred Background & Experience
Experience in an integrated wealth business with securities investment management and fiduciary activities, and knowledge of state insurance and securities regulatory requirements for NDIP activities Knowledge of compliance or audit within a banking/regulatory environment and governance frameworks Familiarity with broker-dealer and RIA regulatory expectations for effective compliance management systems Ability to research, interpret, and summarize regulatory requirements Proficiency with MS Office (PowerPoint, Excel, OneDrive, Teams) Ability to identify, assess, and escalate issues requiring senior management attention Experience with annual compliance assessments under 206-4(7) and FINRA 3130 Strong business writing, policy, guidance, procedures, and training development skills Experience responding to client complaints within a bank or broker-dealer Experience reviewing marketing materials for broker-dealer/bank FINRA Series 7, 63 and 24 preferred
Other Accountabilities
Customer Accountabilities Shareholder Accountabilities Employee/Team Accountabilities
Physical Requirements
Domestic Travel – Occasional; International Travel – Never; Sedentary work – Continuous; Various physical requirements as listed
Who We Are
TD is a leading global financial institution. We are committed to customer experience and offer regular development conversations, mentorship, and training programs to help colleagues grow. Our Total Rewards package includes base salary, incentives, health and well-being benefits, retirement programs, PTO, banking benefits, and career development opportunities.
Additional Information
We are an equal opportunity employer. Accommodation requests can be emailed to USWAPTDO@td.com with the applicant’s details and accommodation needs. If you are applying from a disability, we will provide accommodations during the application process.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Sales and Business Development Industries: Banking
#J-18808-Ljbffr
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 is about creating a culture of compliance that will cascade throughout the organization. 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. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. A strong entrepreneurial mindset, ability to work with ambiguity, and comfort in a dynamic environment are essential as the US Compliance team redefines the bank\'s compliance program and structure. As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will oversee regulatory adherence and risk management within our bank, supporting the development and maintenance of the firm\'s compliance policies and procedures and providing training and guidance as needed.
Responsibilities
Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws Assist in regulatory requests and exams and manage responses to State, FINRA, and SEC inquiries Mitigate risk and ensure the firm meets regulatory obligations Develop, implement, and maintain the firm\'s compliance policies and procedures Partner with operations, technology, and business teams to ensure regulatory compliance Develop and prepare compliance reports on risks and trends Serve as a compliance resource across the firm and participate in cross-functional meetings and committees Identify departmental risks and contribute to strategic planning Oversee business case initiatives and compliance-related technology requests Provide training on regulatory topics, including onboarding new hire training Deliver expert compliance advice to business management Monitor changes in applicable laws and regulations and advise senior management on impacts and required actions Conduct periodic compliance testing, surveillance, and risk assessments Provide backup support to other areas of US Wealth Compliance Participate in other initiatives as needed
Qualifications
Undergraduate degree or equivalent work experience 7+ years of experience
Preferred Background & Experience
Experience in an integrated wealth business with securities investment management and fiduciary activities, and knowledge of state insurance and securities regulatory requirements for NDIP activities Knowledge of compliance or audit within a banking/regulatory environment and governance frameworks Familiarity with broker-dealer and RIA regulatory expectations for effective compliance management systems Ability to research, interpret, and summarize regulatory requirements Proficiency with MS Office (PowerPoint, Excel, OneDrive, Teams) Ability to identify, assess, and escalate issues requiring senior management attention Experience with annual compliance assessments under 206-4(7) and FINRA 3130 Strong business writing, policy, guidance, procedures, and training development skills Experience responding to client complaints within a bank or broker-dealer Experience reviewing marketing materials for broker-dealer/bank FINRA Series 7, 63 and 24 preferred
Other Accountabilities
Customer Accountabilities Shareholder Accountabilities Employee/Team Accountabilities
Physical Requirements
Domestic Travel – Occasional; International Travel – Never; Sedentary work – Continuous; Various physical requirements as listed
Who We Are
TD is a leading global financial institution. We are committed to customer experience and offer regular development conversations, mentorship, and training programs to help colleagues grow. Our Total Rewards package includes base salary, incentives, health and well-being benefits, retirement programs, PTO, banking benefits, and career development opportunities.
Additional Information
We are an equal opportunity employer. Accommodation requests can be emailed to USWAPTDO@td.com with the applicant’s details and accommodation needs. If you are applying from a disability, we will provide accommodations during the application process.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Sales and Business Development Industries: Banking
#J-18808-Ljbffr