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TD · 9 hours ago

Wealth Compliance Program Admin and Reporting

Mount Laurel, NJ

Full-time

Onsite

Mid, Senior Level

$69K/yr - $123K/yr

5+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Senior Compliance Business Oversight Analyst to support their compliance risk management function. This role involves managing day-to-day operations while also helping to design and implement a forward-thinking compliance program.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Support 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 and Risk Management programs (i.e., risk assessments, 2nd line review and challenge 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

Review and challenge the assessment of first-line risk owners' alignment with compliance requirements to ensure that systems, products, services, and practices comply with enterprise policies, standards, procedures, and applicable regulations

Review and challenge the development and implementation of risk metrics and indicators (KRIs/KPIs);Deliver independent challenge and objective guidance to business units

Proactively manage regulatory change in collaboration with the U.S. Wealth business key stakeholders and risk owners

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

Assist with preparing executive content for senior management and board reports to business, compliance and risk stakeholders, including drafting content for reporting with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation

Engage in continuous improvement initiatives to enhance compliance risk and reporting processes, promoting a culture of risk awareness throughout the organization

Qualification

Regulatory compliance knowledgeAnalytical skillsRisk assessmentCompliance Management System (CMS)Training developmentMS Office SuiteProblem resolutionTeam collaborationAttention to detailCommunication skills

Required

Undergraduate degree or equivalent work experience

5+ years of experience

Compliance knowledge with applicable laws and regulations

Ability to work both individually and as a team

Strong analytical skills

Attention to detail

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 retail non-deposit investment products (RNDIP) 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 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

Familiarity with data visualization tools including PowerBI and Tableau a plus

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