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TD · 1 day ago

Compliance Business Oversight Manager - Fiduciary and Trust (US)

Mount Laurel, NJ

Full-time

Onsite

Mid, Senior Level

$91K/yr - $146K/yr

7+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Compliance Business Oversight Manager to provide advice, support, and objective guidance on compliance programs. The role involves managing regulatory compliance policies, procedures, and training development while fostering a culture of compliance within the organization.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Manage the regulatory change management process, regulatory compliance policies, procedures, training development and corporate compliance programs

Support the business in identifying, assessing, and implementing regulatory change

Support business line regulatory change implementations including overseeing business changes to policies, procedures, systems, and/or controls via action plans or projects

Support the Wealth Compliance team and the US Wealth business in the implementation and execution of enterprise Compliance programs (i.e., risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives), including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events

Assess regulatory compliance risk and conduct risk within the U.S. Wealth businesses

Independently test, monitor and assess the adequacy of adherence to and effectiveness of Compliance Management System (CMS) programs and controls in the business units throughout U.S. Wealth businesses

Deliver independent challenge and objective guidance to business units

Proactively manage regulatory change

Establish and maintain, or provide oversight of and challenge to policies, procedures and controls designed to meet regulatory requirements and manage regulatory compliance risk and conduct risk

Qualification

Compliance knowledgeRegulatory change managementAnalytical skillsFiduciary activitiesRisk assessmentCompliance Management SystemProblem resolutionTeam collaborationAttention to detailCommunication skillsMentorship

Required

Undergraduate degree or equivalent work experience

7+ years of experience

Preferred

Experience working in an integrated wealth business as a bank subsidiary, a focus on securities investment management and 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 is preferred

Relevant certifications preferred such as Certified Fiduciary & Investment Risk Specialist (CFIRS) or Certified Trust and Fiduciary Advisor (CTFA)

Familiarity with Office of the Comptroller of Currency (OCC) governance including fiduciary and investment handbooks

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

Knowledge of current and emerging trends, including 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

Ability to independently identify, assess, and escalate issues requiring senior management attention