Compliance Business Oversight Manager

Compliance Administration Oversight & Reporting Manager

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization.

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will :

• 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

The Compliance Administration Oversight & Reporting Manager ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.

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