AVP, Senior Compliance Specialist - Corporate Office Compliance

TD Bank   •  

Mount Laurel, NJ

Industry: Financial Services


5 - 7 years

Posted 293 days ago

This job is no longer available.


Job Description
The Senior Compliance Specialist supports compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. The Senior Compliance Specialist reviews Compliance or business line audit and test results to assist with/perform analysis against regulatory requirements and Company policy. The Senior Compliance Specialist assists with the identification of training needs in areas of responsibility and participates in the development and/or review of training materials created by business lines or Corporate Compliance. This job also supports the Chief Compliance Officer (CCO) in ensuring the Bank’s compliance with all applicable Federal consumer protection laws and regulations.


•   Researches very complex regulatory issues that may involve internal or outside counsel. Communicates findings to senior management or business lines.

•   Coaches and educates others on assigned team or within department.

•   Provides day to day interaction and support to Management.

•   Oversees/executes and/or performs tasks from beginning to end.

•   Focuses on short to mid term issues (e.g. monthly-quarterly).

•   Identifies issues, through evaluation of policies, practices, and industry guidance in order to develop and evaluate proposed resolutions and their impact on business processes and resources.

•   Drafts comment letters regarding regulatory changes and reviews letters with compliance management before distribution to affected areas of the Company.

•   Interacts and communicates with staff and senior management of the Bank and requires minimal supervision of work product.

•   Conducts and leads testing efforts, documents findings, presents findings to appropriate levels of management, and serves as reviewer of written reports within assigned teams.

•   Supports the evaluation of the effectiveness of compliance programs, providing knowledgeable advice and counsel for business lines or assigned areas.

•   Reviews test results to provide guidance and best practices to mitigate compliance risk and make recommendations for corrective action.

•   Monitors department reporting to determine additional needs for compliance training and serves as a lead reviewer/approver of training modules.

•   Takes lead role in preparation for regulatory exams/audits.

•   Assists various departments of the Bank in response to periodic examinations by regulatory agencies. Supports compliance management in direction and monitoring of follow up efforts to correct any deficiencies discovered in a regulatory examination or internal audit.

•   Represents compliance team at various meetings as directed.

•   Compiles compliance analyses and recommendations for presentation and review by compliance management. Explains findings and recommendations to management to secure approval for changes.


•   Bachelor’s degree or progressive work experience in addition to experience below

•   5-7 Years of related experience

•   In depth knowledge of applicable laws and regulations, research skills and presentation skills

•   Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture

•   Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends

•   Ability to communicate effectively with senior level management

•   Proven experience in project coordination and ability to work independently

•   Ability to use personal computer for word processing and electronic filing and retrieval of documents

•   Strong analytical skills and basic mathematical ability to understand and test disclosures

•   Travel required; some extended overnight travel

•   Proficiency in Microsoft Office applications, Visio, Adobe Acrobat, and online course authoring and graphics tools, as required for team supported