Wealth Compliance Program Admin and Reporting

TD Bank • Mount Laurel Township, NJ

97d • $68,640 - $123,320

About The Position

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 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.

Requirements

• Undergraduate degree or equivalent work experience.
• 5+ years of experience in compliance or related fields.
• Knowledge of compliance laws and regulations.
• Strong analytical skills and attention to detail.
• Ability to work both individually and as a team.

Nice To Haves

• Experience working in an integrated wealth business as a bank subsidiary.
• FINRA Series 7 required; Series 24, 65 or 66 preferred.
• State insurance life and health license preferred or can be obtained within an agreed upon reasonable timeframe.
• Familiarity with data visualization tools including PowerBI and Tableau.

Responsibilities

• Support the regulatory change management process, regulatory compliance policies, procedures, training development and corporate compliance programs.
• Support business line regulatory change implementations, including overseeing business changes to policies, procedures, systems, and/or controls via action plans or projects.
• Implement and execute enterprise Compliance and Risk Management programs including risk assessments, 2nd line review and challenge of business monitoring and testing programs.
• Independently test, monitor and assess the adequacy of adherence to and effectiveness of Compliance Management System (CMS) programs and controls.
• Review and challenge the assessment of first-line risk owners' alignment with compliance requirements.
• Prepare executive content for senior management and board reports.
• Engage in continuous improvement initiatives to enhance compliance risk and reporting processes.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree