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Manager, Compliance Testing

4 months ago

New York, United States TD Bank Full time

**Work Location**:
New York, New York

**Hours**:
40

**Pay Details**:
$110,760 - $178,880 USD

**Line of Business**:
Compliance

The Manager, Compliance Testing leads and develops team(s) responsible for planning and overseeing independent Compliance testing. This role is responsible for leading all phases of the assigned testing engagement. Provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for their team.

**Depth & Scope**:

- Key contact for business management and dealing with non-routine information
- Focuses is on short to mid-term planning (6 -12 months)
- Deep knowledge and understanding of businesses and organizational practices/disciplines
- Sets operational team direction and collaborates with others to execute on common goals
- Oversees management of team requiring workforce to decision on acceptable level of risk
- Moderate to High risk potential (loss/reputational) for functional area
- Knowledge and experience in the below Compliance areas preferred Charles River Portfolio Compliance
- New client on-boarding of client restrictions/ guidelines for institutional and sub-advisory clients
- Testing of all client guidelines prior to investment account going live
- Assists client service on monthly, quarterly and annual compliance guideline due diligence requests
- Assists Deputy CCO on all aspects of Charles River "over-ride" process
- Interacts with Epoch's trading desk and portfolio implementation team on all trading issues ACA/Code of Ethics Compliance:

- New Employee onboarding, including training on system and reporting procedures/requirements and set up of brokerage accounts/holdings, 407Letters, etc.
- Manages documents and various certifications on ACA/PTCC
- Provides ongoing employee assistance with login, preclearance, broker migrations, new accounts, private placements
- Manages live data feeds and add new feeds as they become available
- Quarterly review of statements versus preclearances and reported trade activity
- Reviews of firm trading activity via ACA Audit Report
- Manages Gifts & Entertainment Reporting: certifications and provide employee support
- Manages political contributions reporting
- Distributes and review annual compliance questionnaire

**Coordinate & Prepare Filings**:

- Large Trader ID
- 13G/F
- Form PF - New requirement for Epoch Funds
- Form D
- Blue Sky Filings
- Canada registrations
- ADV Maintenance Filings
- Ad-hoc Filings

**Audit Functions**:

- Prepare documents for internal/external audits
- Assist in gathering documentation and information for internal/external audit
- Maintain SEC exam prep binders
- Compliance Program assessment projects
- AML Review

**Legal**:
Corporate Paralegal:

- Client Reporting
- Board Packages, etc.
- Ad Hoc Projects
- Meeting Minutes
- Binders
- Pitch Books - Review Marketing Materials
- Vendor Agreement

**Education & Experience**:

- Bachelor's degree required
- 6+ years of experience in audit, compliance and/or project management
- 7+ years overall experience is needed
- Relevant professional designations and/or certifications as required
- Advanced knowledge of compliance testing standards, systems, procedures, laws, rules, regulations, controls, communication channels and reporting requirements
- Advanced knowledge of risk management environment, standards, regulations and mitigation
- Ability to establish goals and objectives that support the strategic plan
- Ability to contribute to strategic direction of the compliance testing function and provide advice to senior leadership
- Skills in conflict resolution, strong intuitive judgment and negotiation/influencing skills, flexibility and adaptability to changing priorities
- Knowledge of current and emerging trends
- Skill in managing budgets and resource allocation
- Skill in mentoring, coaching and performance management
- Skill in using analytical software tools, data analysis methods, reporting techniques and reporting writing
- Ability to lead, plan, implement and evaluate program/project activities to ensure completion
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships across teams and functions
- Ability to work successfully as a member of a team and independently
- Ability to exercise sound judgement in making decisions
- Ability to analyze, organize and prioritize work while meeting multiple deadlines
- Ability to handle confidential information with discretion

**Physical Requirements**:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel - Occasional
- International Travel - Never
- Performing sedentary work - Continuous
- Performing multiple tasks - Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds - Occasional
- Sitting - Continuous
- Standing - Occasional
- Walking - Occasional
- Moving safely in confined spaces