TD Securities
Senior Compliance Business Oversight Analyst
TD Securities, Mount Laurel, New Jersey, United States
Overview
Senior Compliance Business Oversight Analyst Join to apply for the
Senior Compliance Business Oversight Analyst
role at
TD Securities Work Location: Mount Laurel, New Jersey, United States of America Work Details
Hours: 40 Pay Details: $68,640 - $123,320 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
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. This is 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. A entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic landscape are essential as the US Compliance team redefines the bank\'s compliance program and structure. 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 opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. Responsibilities
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 to mitigate inherent risks. Lead development and implementation of Compliance programs related to all aspects of Compliance laws; manage day-to-day operations and assist in designing forward-looking programs. Exercise sound and expert independent professional judgment in interacting with staff and senior management on significant regulatory compliance risk matters. Provide independent challenge and objective guidance to business units; proactively manage regulatory change. Establish and maintain or provide oversight of policies designed to meet regulatory requirements and manage risk. Lead projects of moderately to complex risks and resource requirements; coordinate work with other areas as needed. Identify and communicate areas of non-compliance and/or material control weaknesses; oversee remediation of regulatory issues. Assess regulatory risk associated with new products, services and initiatives with significant operational or financial impact. Depth & Scope
Exercise professional judgment when communicating with staff and senior management on significant regulatory compliance risk matters. Make prudent professional decisions in advising business lines on compliance matters and regulatory risks. Provide advanced analysis and specialized reporting to support business partners or centers of expertise. Research, review and maintain expertise on banking regulations and related laws and policies. Develop training content and may train business partners on regulatory requirements. Independently reviews and authorizes documentation for business line use: disclosures, forms, customer-facing communications, operating procedures and policies. Perform targeted and periodic monitoring of activities for compliance with regulatory requirements. Identify risks and lead remediation actions; integrate the broader organizational context into compliance advice. Education & Experience
Undergraduate degree or equivalent work experience 5+ years of experience Preferred Background & Experience
Experience in integrated wealth business with focus on securities, fiduciary activities, state insurance regulatory requirements and securities regulations for NDIP to retail customers is preferred. Experience leading initiatives that enhance processes for better resource management and performance. Ability to manage multiple competing deliverables and changing priorities; experience in data analysis for trend reporting. Knowledge of compliance or audit, legal and regulatory environment, governance frameworks, policies, systems, and training requirements. Knowledge of regulatory trends and ability to interpret and summarize regulatory expectations for the Compliance Program. Proficiency with MS Office; ability to identify, assess, and escalate issues requiring senior management attention. Accountabilities
Customer Accountabilities: assists in developing and implementing compliance policies, processes and controls; conducts risk assessments; delivers management reporting. Shareholder Accountabilities: updates policies and procedures; coordinates with auditors and regulators; promotes consistency across the enterprise. Employee/Team Accountabilities: participates in the team, mentors others, supports performance management and knowledge transfer; acts as a brand ambassador. Physical Requirements
Domestic Travel – Occasional; International Travel – Never Performing sedentary work – Continuous; Reaching forward – Occasional; Concentrating for long periods – Continuous Reading, writing and comprehending instructions – Continuous; Adding/subtracting/multiplying/dividing – Continuous The above statements describe the general nature and level of work and are not intended to be an exhaustive list of responsibilities. The listed duties are considered essential functions for ADA purposes. Accommodation & Equal 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 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 USWAPTDO@td.com.
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Senior Compliance Business Oversight Analyst Join to apply for the
Senior Compliance Business Oversight Analyst
role at
TD Securities Work Location: Mount Laurel, New Jersey, United States of America Work Details
Hours: 40 Pay Details: $68,640 - $123,320 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
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. This is 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. A entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic landscape are essential as the US Compliance team redefines the bank\'s compliance program and structure. 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 opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. Responsibilities
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 to mitigate inherent risks. Lead development and implementation of Compliance programs related to all aspects of Compliance laws; manage day-to-day operations and assist in designing forward-looking programs. Exercise sound and expert independent professional judgment in interacting with staff and senior management on significant regulatory compliance risk matters. Provide independent challenge and objective guidance to business units; proactively manage regulatory change. Establish and maintain or provide oversight of policies designed to meet regulatory requirements and manage risk. Lead projects of moderately to complex risks and resource requirements; coordinate work with other areas as needed. Identify and communicate areas of non-compliance and/or material control weaknesses; oversee remediation of regulatory issues. Assess regulatory risk associated with new products, services and initiatives with significant operational or financial impact. Depth & Scope
Exercise professional judgment when communicating with staff and senior management on significant regulatory compliance risk matters. Make prudent professional decisions in advising business lines on compliance matters and regulatory risks. Provide advanced analysis and specialized reporting to support business partners or centers of expertise. Research, review and maintain expertise on banking regulations and related laws and policies. Develop training content and may train business partners on regulatory requirements. Independently reviews and authorizes documentation for business line use: disclosures, forms, customer-facing communications, operating procedures and policies. Perform targeted and periodic monitoring of activities for compliance with regulatory requirements. Identify risks and lead remediation actions; integrate the broader organizational context into compliance advice. Education & Experience
Undergraduate degree or equivalent work experience 5+ years of experience Preferred Background & Experience
Experience in integrated wealth business with focus on securities, fiduciary activities, state insurance regulatory requirements and securities regulations for NDIP to retail customers is preferred. Experience leading initiatives that enhance processes for better resource management and performance. Ability to manage multiple competing deliverables and changing priorities; experience in data analysis for trend reporting. Knowledge of compliance or audit, legal and regulatory environment, governance frameworks, policies, systems, and training requirements. Knowledge of regulatory trends and ability to interpret and summarize regulatory expectations for the Compliance Program. Proficiency with MS Office; ability to identify, assess, and escalate issues requiring senior management attention. Accountabilities
Customer Accountabilities: assists in developing and implementing compliance policies, processes and controls; conducts risk assessments; delivers management reporting. Shareholder Accountabilities: updates policies and procedures; coordinates with auditors and regulators; promotes consistency across the enterprise. Employee/Team Accountabilities: participates in the team, mentors others, supports performance management and knowledge transfer; acts as a brand ambassador. Physical Requirements
Domestic Travel – Occasional; International Travel – Never Performing sedentary work – Continuous; Reaching forward – Occasional; Concentrating for long periods – Continuous Reading, writing and comprehending instructions – Continuous; Adding/subtracting/multiplying/dividing – Continuous The above statements describe the general nature and level of work and are not intended to be an exhaustive list of responsibilities. The listed duties are considered essential functions for ADA purposes. Accommodation & Equal 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 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 USWAPTDO@td.com.
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