TD Securities · 15 hours ago
Senior Compliance Business Oversight Manager - Consumer Deposits
Mount Laurel, NJ
Full-time
Onsite
Senior Level, Lead/Staff
$115K/yr - $186K/yr
10+ years expTD Securities is one of the world's leading global financial institutions and is committed to building a resilient compliance risk management function. The Senior Compliance Business Oversight Manager will provide compliance advisory support and manage compliance risk across payment products, ensuring adherence to US consumer protection laws and regulatory expectations.
BankingFinanceFinancial Services
Responsibilities
Proactively advises the business of new and changed Compliance regulatory and/or policy changes
Formulates relevant and meaningful data analysis, leveraging advanced modeling and analytics, and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
Contributes to the development and implementation of Compliance programs
Guides partner through the development, implementation, oversight and management of effective Compliance Programs
Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
Represents Compliance on internal or external committees relating to designated business activities as required
Delivers relevant subject matter expertise and Compliance advice to business management
Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
Actively assists in developing and overseeing implementation of business line policies and Compliance Team procedures
Oversees respective programs/policies/practices are well managed, meet business needs, comply with internal and external requirements, and align with business priorities
Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
Partners with the governance & assurance function to develop annual awareness training
Conducts enterprise wide annual risk assessment for all TD businesses
Protects the interests of the organization – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Qualification
Required
Undergraduate degree or equivalent work experience
10+ years of experience
Proficient in compliance related to consumer deposit regulations
Extensive understanding of consumer banking laws and relevant regulations that govern deposit and payment products, fraud, and back office operations (such as Reg E, UDAAP, Reg Z, Reg V, DD, and CFPB guidelines)
Experience reviewing and approving policies and procedures, issues management, ongoing monitoring, and complaints management
Experience managing teams
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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