Compliance Oversight Manager

4 weeks ago


Fort Lauderdale, Florida, United States TD Bank Full time
Job Description

Job Title: Compliance Oversight Manager

Job Summary: We are seeking a highly skilled Compliance Oversight Manager to join our team at TD Bank. The successful candidate will be responsible for providing guidance, leadership, and training to a team responsible for executing branch exams and ensuring compliance with applicable regulations.

Key Responsibilities:

  • Provide guidance and training to field branch managers and staff on regulatory requirements and best practices.
  • Develop and implement examination policies, procedures, and schedules.
  • Assess regulatory compliance risk and conduct risk within U.S. Wealth businesses.
  • Independently test, monitor, and assess the adherence to and effectiveness of Compliance Management System (CMS) programs and controls in business units throughout U.S. Wealth businesses.
  • Deliver independent challenge and objective guidance to business units.
  • Proactively manage regulatory change.
  • Establish and maintain policies designed to meet regulatory requirements and manage regulatory compliance risk and conduct risk.

Requirements:

  • Undergraduate degree or equivalent work experience.
  • 7+ years of experience in compliance or a related field.
  • FINRA Series 7, 63, and 24 certifications.
  • Experience with testing and branch examination of registered/licensed personnel to ensure compliance with procedures and regulations.
  • Ability to independently identify, assess, and escalate issues requiring senior management attention.

What We Offer:

  • A competitive salary and benefits package.
  • Opportunities for career growth and development.
  • A dynamic and supportive work environment.

How to Apply: If you are a motivated and experienced compliance professional looking for a new challenge, please submit your application, including your resume and cover letter, to our website.



  • Fort Lauderdale, Florida, United States TD Bank Full time

    Job SummaryThe Compliance Business Oversight Manager provides expert guidance and support to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.Key ResponsibilitiesProvides comprehensive coverage for a significant...


  • Fort Lauderdale, Florida, United States TD Bank Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Manager to join our team at TD Bank. As a key member of our Compliance function, you will be responsible for providing guidance, leadership, and training to a team responsible for executing Branch/OSJ exams, ensuring that registered/licensed agents are following procedures and complying with...


  • Fort Lauderdale, Florida, United States Seminole Gaming Full time

    Job Title: Compliance Specialist IIAbout the Role:We are seeking a highly skilled Compliance Specialist II to join our team at Seminole Gaming. As a Compliance Specialist II, you will provide support in all compliance and related activities, ensuring that our operations are in line with regulatory requirements and internal policies.Key...


  • Fort Lauderdale, Florida, United States D&H National Research Center Full time

    Job OverviewD&H National Research Center seeks a highly skilled Regulatory Compliance Specialist to join our team in Doral, FL.The successful candidate will be responsible for ensuring regulatory compliance and staying up-to-date with regulatory requirements.Key Responsibilities:Conduct research and analysis to ensure compliance with regulatory...

  • Compliance Officer

    4 weeks ago


    Fort Lauderdale, Florida, United States Biostem Technologies Full time

    Company Overview:BioStem Technologies is a leading medical technology company focused on advanced wound care and regenerative medicine. Our comprehensive compliance program ensures adherence to all applicable federal, state, and international regulations, enabling us to develop and commercialize innovative solutions for patients worldwide.Why BioStem...


  • Fort Lauderdale, Florida, United States UKG (Ultimate Kronos Group) Full time

    Job SummaryUKG (Ultimate Kronos Group) is seeking a highly skilled Tax Compliance Specialist to join our Payroll Services Team. As a Tax Compliance Specialist, you will be responsible for ensuring accurate and timely tax payments and filings. This role requires strong analytical and problem-solving skills, as well as excellent communication and customer...


  • Fort Lauderdale, Florida, United States Trinity Health Full time

    Job Summary:The Manager of Infection Prevention and Control provides leadership and oversight over the development, integration, and implementation of Infection Prevention and Control programs in coordination with medical, nursing, and ancillary leadership across Holy Cross Hospital.Key Responsibilities:Design, lead, and maintain an infection prevention and...


  • Fort Lauderdale, Florida, United States House of Hope Inc Full time

    Job DescriptionAt House of Hope Inc, we are seeking a highly skilled Behavioral Health Compliance Specialist to ensure the highest standards of quality care and safety for our clients. The ideal candidate will have experience in quality management and compliance, with a strong understanding of contractual requirements and accreditation standards.Key...


  • Fort Lauderdale, Florida, United States Alj Services Llc Full time

    We are seeking a highly skilled Government Contract Compliance Specialist to join our team at Alj Services Llc. As a key member of our contracting team, you will play a crucial role in ensuring compliance with government regulations and contracts.About the RoleThis is a 1099 contract position that offers flexibility in working both remotely and on-site as...


  • Fort Lauderdale, Florida, United States Broward Community College Full time

    Job SummaryThe Senior Director, Emergency Management will provide leadership and oversight of college-wide emergency management operations and activities. This position is responsible for developing and maintaining key documents, emergency plans, training, and response aspects in accordance with regulatory compliance obligations and industry best...


  • Fort Lauderdale, Florida, United States Propark Mobility Full time

    Job Summary:Propark Mobility is seeking a highly motivated and experienced Account Manager to join our team. As an Account Manager, you will be responsible for handling customer complaints and day-to-day operational issues, managing and submitting employee, operations, and payroll reports, overseeing the customer service program to ensure customer...


  • Fort Lauderdale, Florida, United States House of Hope Full time

    BenefitsHouse of Hope offers a comprehensive benefits package, including:Retirement PlanEmployer-Paid Basic Life and AD&D InsuranceEmployer-Paid Short-Term and Long-Term DisabilityTwelve (12) Paid HolidaysBirthday LeaveDental insuranceHealth insurancePaid time offVision insuranceJob DescriptionWe are seeking a highly skilled Behavioral Health Compliance...

  • Compliance Officer

    4 weeks ago


    Fort Lauderdale, Florida, United States House of Hope Full time

    Job Title: Compliance Officer - Behavioral Health SpecialistJob Summary: We are seeking a highly skilled Compliance Officer - Behavioral Health Specialist to join our team at House of Hope. The successful candidate will be responsible for ensuring legal and ethical practices, promoting client quality care and safety, following all relevant internal rules and...


  • Fort Lauderdale, Florida, United States Laundry Owners Warehouse Full time

    Job SummaryLaundry Owners Warehouse is seeking a highly skilled Financial Expert to manage sales tax compliance and exemption certificates. The ideal candidate will have extensive experience with Avalara and QuickBooks to ensure timely and accurate filing of sales tax returns across multiple jurisdictions.Key Responsibilities:Generate and analyze financial...


  • Fort Lauderdale, Florida, United States KPMG Full time

    Business Title: Manager, Account ManagementRequisition Number:Function: Business Support ServicesArea of Interest:State:FLCity: Fort LauderdaleDescription:KPMG is a leading provider of audit, tax, and advisory services. We are seeking a Manager, Account Management to join our Growth and Strategy organization.Responsibilities:Drive account operations strategy...


  • Fort Lauderdale, Florida, United States South Florida Recruiters Full time

    Job OpportunitySouth Florida Recruiters is seeking a highly skilled Controller to join their Accounting and Finance group. Reporting to the Chief Financial Officer, the successful candidate will be responsible for overseeing all accounting and finance activities.Key Responsibilities:Ensure compliance with GAAP standards and regulatory requirements through...


  • Fort Lauderdale, Florida, United States 3Sixty Duty Free Full time

    Job OverviewThe Airport Branch Manager is responsible for overseeing all aspects of the airport branch, including personnel, sales, cash and inventory management, store maintenance, and store replenishment. This role requires a strong leader who can consistently provide customers with the highest level of service possible and work in tandem with the Regional...


  • Fort Lauderdale, Florida, United States Broward Health Full time

    Job Summary:As the Associate Chief Financial Officer, Administration, you will be responsible for managing and ensuring the accuracy of internal and external financial statements, program expenditure, and budget reporting. You will provide oversight of budgets, invoices, records, and billings for various grant programs and all services and funding....


  • Fort Lauderdale, Florida, United States CaseCo Full time

    Job DescriptionAt CaseCo, we are seeking a highly skilled Construction Production Manager to oversee the daily operations of producing modular homes inside a warehouse setting.This role involves a broad range of responsibilities including safety management, inventory control, supply chain oversight, production staging, supervision of employees and...


  • Fort Lauderdale, Florida, United States Propark Mobility Full time

    Parking Operations Manager Job DescriptionWe are seeking a highly skilled Parking Operations Manager to join our team at Propark Mobility. As a key member of our operations team, you will be responsible for overseeing the day-to-day activities of our parking locations, ensuring that our customers receive exceptional service and that our operations run...