TD Securities · 7 hours ago
Compliance Business Oversight Manager - Fiduciary and Trust (US)
Charlotte, NC
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Compliance Business Oversight Manager to reshape compliance structures and processes. This role involves managing day-to-day operations while designing and implementing a forward-thinking compliance program that aligns with the bank's risk profile.
BankingFinanceFinancial Services
Responsibilities
Manage the regulatory change management process, regulatory compliance policies, procedures, training development and corporate compliance programs
Support the business in identifying, assessing, and implementing regulatory change
Support business line regulatory change implementations including overseeing business changes to policies, procedures, systems, and/or controls via action plans or projects
Support the Wealth Compliance team and the US Wealth business in the implementation and execution of enterprise Compliance programs (i.e., risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives)
Assess regulatory compliance risk and conduct risk within the U.S. Wealth businesses
Independently test, monitor and assess the adequacy of adherence to and effectiveness of Compliance Management System (CMS) programs and controls in the business units throughout U.S. Wealth businesses
Deliver independent challenge and objective guidance to business units
Proactively manage regulatory change
Establish and maintain, or provide oversight of and challenge to policies, procedures and controls designed to meet regulatory requirements and manage regulatory compliance risk and conduct risk
Provide 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
Work independently and is accountable for managing a specialized Compliance function or area
Provide comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
Provide advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
Provide 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
Manage/assist with regulatory reviews including inquiries, audits, and exams
Identify and lead problem resolution for project/program complex requirements related issues at all levels
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years of experience
High level of compliance knowledge with applicable laws and regulations
Ability to work both individually and as a team
Strong analytical skills
Attention to detail
Ability to independently identify, assess, and escalate issues requiring senior management attention
Preferred
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
Relevant certifications such as Certified Fiduciary & Investment Risk Specialist (CFIRS) or Certified Trust and Fiduciary Advisor (CTFA)
Familiarity with Office of the Comptroller of Currency (OCC) governance including fiduciary and investment handbooks
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
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 Suite
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
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