TD Securities · 2 weeks ago
Compliance Business Oversight Manager
Mount Laurel, NJ
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD Securities is a leading global financial institution committed to reshaping compliance structures and processes. The Compliance Business Oversight Manager will ensure regulatory adherence and risk management, overseeing compliance monitoring and collaborating with cross-functional teams to enhance transparency and decision-making.
BankingFinanceFinancial Services
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 help manage responses to State, FINRA, and SEC inquiries
Help mitigate risk and ensure the firm meets regulatory obligations
Assist in the development, implementation, and maintenance of 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 represent the department on cross-functional meetings, initiatives, forums and committees
Identify departmental risks and contribute to strategic planning
Oversee business case initiatives and compliance-related technology requests
Provide training to the field on various regulatory topics, including onboarding new hire training
Delivers relevant subject matter expertise and Compliance advice to business management
Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions
Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm’s compliance program
Provide backup support to other areas of the US Wealth Compliance team
Participate in other initiatives as needed
Qualification
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
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 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, including PowerPoint, Excel, OneDrive, Teams
Ability to independently identify, assess, and escalate 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
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
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