Senior Manager, Compliance Testing - Wealth Compliance

Job Description

At TD Bank US Compliance, 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.

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.

Duties

• Responsible for planning and overseeing independent Compliance testing and validations completed by specialists and may execute some independent testing as applicable.
• Provides subject matter expertise on Compliance controls/processes and is responsible for leading all phases of the assigned testing or validation engagement.
• Experience with testing SEC, FINRA, MSRB and state securities regulatory requirements; Regulation 9 (bank fiduciary regulatory requirements); state insurance (annuities and life insurance) regulatory requirements.

Qualifications

• Undergraduate degree or equivalent work experience
• 10+ years of experience
• Prior testing, audit or business operations experience in areas involving regulatory compliance
• Prior experience with execution of testing, validation or audit activities
• Detail oriented and well-developed organizational, time management and project management skills
• Strong verbal and written communication skills
• Ability to manage multiple tasks and competing priorities
• Proficiency with Microsoft Office applications
• CRCM certification preferred
• Knowledge and experience with risk management environment, standards, and regulations
• 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 regulatory expectations and standards for effective compliance management systems
• Skill in using computer applications including MS Office and Tableau
• Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
• Ability to independently identify, assess, and escalate issues requiring senior management attention
• FINRA Series 7, 63 and 24 preferred