Senior Compliance Manager - Branch Inspections

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$115,440 - $173,160 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Compliance

Job Description:

Why Work with Us?

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

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.

Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

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.

U.S. Wealth is a fully integrated wealth management business that provides products and services (designed for High-Net-Worth, Institutional and Mass Affluent clients of TD Bank, N.A. encompassing banking, custom credit, asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank N.A., TD Private Client Wealth LLC and TD Wealth

Management Services Inc) with independent and complex regulatory regimes.

The Financial Advisors, Relationship Managers, and Investment Advisors who are part of the client-facing Distribution teams are both securities-registered and insurance-licensed.

As a member of the US Wealth Compliance Department, the Senior Compliance Branch Inspections Manager will:

* Manage Branch Examinations and Internal Investigations Team

* Lead Broker-Dealer and Registered Investment Adviser Compliance Monitoring Plan

* 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

Job Summary:

The Senior Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on…