Compliance Manager
2 weeks ago
**Work Location**:
Mount Laurel, New Jersey
**Hours**:
40
**Pay Details**:
$86,840 - $139,360 USD
**Line of Business**:
Compliance
**Depth & Scope**:
- Manages the performance of independent compliance reviews that measure adherence to federal and state law regulatory requirements impacting business lines, as well as compliance reviews of compliance units (CUs) within Compliance Risk Management (CRM) to ensure compliance with CRM mandates and CRM/CU internal policies and procedures
- Designs and ensures execution of risk-based compliance reviews and ensures work is performed in accordance with Compliance Process Certification methodology and consistent with Compliance Risk Managements objectives and standards
- Serves as initial reviewer/approver of assigned business line self-monitoring work papers
- Identifies and analyzes issues to determine root causes
- Conducts regulatory research that may involve internal or outside counsel or third party assistance
- Stays current on regulatory changes, and changes to CRM mandates and internal policies and procedures to understand impact and ensure compliance review procedures are updated as appropriate
- Works closely with management of other areas within Compliance Risk Management as well as routinely interacts and maintains highly effective partnerships with line of business management and staff
- Prepares reports of findings and presents to senior compliance and business line management, as well as heads of compliance units as applicable
- Provides assistance, support and management of other projects as assigned
- May serve as primacy compliance contact and coordinates the compliance function for assigned line of business through the development and monitoring of compliance programs within the larger compliance framework developed
- Manages vendor management process for any vendors utilized by assigned team
- Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management
- May lead a team of specialists
- Oversees the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming
- May manage the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations
- Serves as final reviewer of RIMS and implementation documentation (except BLMs) Assists in the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger
**Education & Experience**:
- Bachelors degree or progressive work experience required in addition to experience below
- 5+ years related experience required
- Certified Regulatory Compliance Manager (CRCM) desired
- Broad working knowledge of laws and regulations related to areas of assignment
- Demonstrates ability to develop project plans and independently coordinate and complete projects
- Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
- Ability to influence others actions and decisions without express authority
- Ability to analyze complex laws and regulations
- Proficiency in Microsoft Excel and Access
- Advanced knowledge of database programming languages
**Who We Are**:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing - and so will you.
**Our Total Rewards Package
**Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibili
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