Compliance Oversight Manager - Branch and Office Supervisory Jurisdiction (OSJ) Inspections

TD Bank • New York, NY

373d • $86,840 - $139,360 • Hybrid

About The Position

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. The position will require travel 20-35% of the time and requires a high level of compliance knowledge with applicable laws and regulations, an ability to work both individually and as a team, strong analytical skills, and attention to detail. The position will build, run and maintain a sustainable U.S. Wealth Compliance function that effectively manages and oversees regulatory compliance risk and conduct risk in U.S. Wealth businesses.

Requirements

• Undergraduate degree or equivalent work experience.
• 7+ years of experience.
• High level of compliance knowledge with applicable laws and regulations.
• Strong analytical skills and attention to detail.

Nice To Haves

• FINRA Series 7, 63 and 24.
• FINRA Series 55, 65 or 66 and 4 or ability to obtain within 9-18 months.
• Experience with testing and branch examination of registered/licensed personnel.
• Demonstrated experience managing a branch examination program.
• Knowledge of current and emerging trends in regulatory compliance.

Responsibilities

• Provide guidance, leadership and training to a team responsible for executing Branch/OSJ exams both on-site and remotely.
• Develop and implement examination policies, procedures and schedules.
• Assess regulatory compliance risk and conduct risk within the U.S. Wealth businesses.
• Independently test, monitor and assess adherence to Compliance Management System (CMS) programs and controls.
• Deliver independent challenge and objective guidance to business units.
• Proactively manage regulatory change.
• Establish and maintain policies designed to meet regulatory requirements.

Benefits

• Base salary and variable compensation/incentive awards.
• Health and well-being benefits.
• Savings and retirement programs.
• Paid time off including Vacation PTO, Flex PTO, and Holiday PTO.
• Banking benefits and discounts.
• Career development and mentoring programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees