TD Securities · 11 hours ago
Wealth Compliance Program Admin and Reporting
Mount Laurel, NJ
Full-time
Onsite
Mid, Senior Level
$69K/yr - $123K/yr
5+ years expTD Securities is committed to building a resilient compliance risk management function. The Wealth Compliance Program Admin and Reporting role involves managing day-to-day compliance operations while contributing to the design and implementation of a forward-thinking compliance program.
BankingFinanceFinancial Services
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
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
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
2026-01-14
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