TD Securities · 1 day ago
Senior Compliance Business Oversight Manager (US)
Mount Laurel, NJ
Full-time
Hybrid
Senior Level, Lead/Staff
$115K/yr - $186K/yr
10+ years expTD Securities is one of the world's leading global financial institutions, seeking a Senior Compliance Business Oversight Manager to oversee compliance management systems and provide guidance on regulatory compliance. The role involves managing day-to-day operations while designing and implementing a forward-thinking compliance program that aligns with the bank's strategic direction.
BankingFinanceFinancial Services
Responsibilities
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
Recognized as top level expert within the company and requires significant in-depth and/or breadth of expertise in a complex field and knowledge of broader related areas
Senior specialist providing advisory services to executives, business segment leaders and governs the requirements for own work
Integrates knowledge of the enterprise function’s or business segment’s overarching strategy in leading program design, policy formulation or operating standards within one or more areas of expertise
Anticipates emerging business trends and regulatory/risk issues as a basis for recommending large-scale product, technical, functional or operations improvements
Serves as a source of expert advice to senior management in field of specialty
Advises on execution strategy and leads the development and deployment of functional programs or initiatives within their own field or across multiple specialties
Solves unique and ambiguous problems with broad impact; typically oversees standards, controls and operating methods that have significant financial and operational impact within the context of their own field
Requires innovative thinking to develop new solutions
Impacts the technical or functional direction and resource allocation of part of an enterprise function or business segment
Works within general policies and industry guidelines
Engages stakeholders to take action; serves as a source of expert advice, influences change; frames information in a broader organizational context
Provides leadership guidance, makes recommendations and collaborates with business to facilitate that solutions meet the business needs on a complex project or program
Identifies and leads problem resolution for project/program complex requirements related issues at all levels
Qualification
Required
Undergraduate degree or equivalent work experience
10+ years of experience
Ability to work with colleagues and business partners in-person and virtually
Ability to pivot quickly and adapt to changing priorities
Experience in implementing and overseeing a variety of elements of a compliance program, including control mapping, risk assessments, regulatory change and monitoring and testing
Ability to independently identify, assess, and escalate issues requiring senior management attention
Experience leading bank compliance-related projects with multiple stakeholders and strict deadlines
Experience presenting to management and regulators
Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements
Skill in using computer applications including MS Office
Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
Preferred
Knowledge and experience within bank compliance or bank 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
Knowledge and experience with risk management environment, standards, and regulations
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
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