Compliance Oversight Manager
4 weeks ago
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.
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