Compliance Business Oversight Manager

Job 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

• Preferred Skills And Experience:
• Experience working in an integrated wealth business as a bank subsidiary
• A focus on securities investment management and fiduciary activities
• State insurance regulatory requirements and securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers
• Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
• Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards for effective compliance management systems
• Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements
• Skilled in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams
• Ability to independently identify, assess, and escalate issues requiring senior management attention
• Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130
• Demonstrated business writing abilities
• Experience writing policies, policy guidance, procedures, and training
• Experience responding to client complaints within a bank or broker-dealer
• Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank
• FINRA Series 7, 63 and 24 preferred