Compliance Manager – Monitoring- Regulatory Compliance, Complaint Oversight, Vendor Oversight

Compliance Business Oversight Manager

Work location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay details: $91,000 - $145,600 USD

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.

This position will support Compliance Monitoring for delivery channels such as Digital Banking, Marketing, and Contact Centers. This includes targeted regulatory compliance monitoring, compliance oversight over complaint handling processes and monitoring complaints for regulatory and compliance risks, trends and themes, as well as overall compliance oversight of vendors including determination of impacted regulatory requirements and associated controls, and ongoing monitoring reviews.

This role will execute monitoring, conduct regulatory research, support and provide objective guidance to assigned portfolio, business or function. This role will require completing individual detailed analysis and work papers, as well as the associated reporting, follow-up, and discussion/presentation to Executive Management. This role will be largely focused on the on-going monitoring of consumer business lines which would require the following:

• Ability to execute and enhance the Bank's monitoring program, completing targeted regulatory compliance reviews, complaint monitoring reviews, and vendor monitoring.
• Manage and/or perform independent compliance reviews of regulatory requirements impacting the products and/or channels supported.
• Conduct regulatory research.
• Provide guidance, make recommendations, and collaborate with businesses to facilitate compliant solutions that meet the business needs on a complex project or program.
• Completing individual detailed analysis and work papers, as well as the associated reporting, follow-up, and discussion/presentation to Executive Management.

Please review Desired Skills & Experience below as you consider this opportunity. The above details are specific to the role which is outlined in the general description below.

Job description summary

The Compliance Business Oversight Manager provides advice, support and objective guidance 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.

Depth & scope

• Works independently and is accountable for managing a specialized Compliance function or area
• Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
• Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
• Provides guidance and support to analysts on matters related to portfolio and specialty
• Typically a subject matter expert for a key functional Compliance area and business
• Contact for business management, dealing with non-routine information
• Manages/assists with regulatory reviews including inquiries, audits, and exams
• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & experience

• Undergraduate degree or equivalent work experience
• 7+ years of experience

Desired skills & experience

• Previous experience with regulatory compliance for delivery channels such as Digital Banking, Marketing, and Contact Centers is a must.
• Previous audit, monitoring, or testing experience.
• Subject matter expertise in Consumer Compliance regulations as they pertain to delivering bank products and services including Digital, Marketing, and Contact Centers.
• Broad understanding of consumer banking compliance rules, laws, and…