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TD · 16 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 Wealth Compliance Program Admin and Reporting Analyst. This role involves reshaping compliance structures and processes, driving innovation, and managing day-to-day operations while contributing to the development of a forward-thinking compliance program.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

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

Independently testing, monitoring and assessing the adequacy of adherence to and effectiveness of Compliance Management System (CMS) programs and controls in the business units throughout U.S. Wealth

Reviewing and challenging 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

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

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

Establishing and maintaining, or providing review and challenge to, policies, procedures and related controls designed to meet regulatory requirements and manage regulatory compliance risk and conduct risk

Assisting 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 skillsCompliance Management System (CMS)Risk assessmentTraining developmentData visualization toolsProblem 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

Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements

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

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