TD Bank

Compliance Administration Oversight & Reporting Manager

TD Bank • $91K — $136K *
Charlotte, NC 28269In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Undergraduate degree or equivalent work experience.
  • 7+ years of experience in regulatory compliance management or related field.
  • Strong experience in Issue Management, Issue Governance, and remediation oversight.
  • Proficiency in developing executive-level reporting and dashboards.
  • Knowledge of compliance, audit, legal, and regulatory environments.

Responsibilities

  • Lead Issue Management and Governance activities for US Wealth Compliance.
  • Serve as primary liaison between Compliance and business partners.
  • Develop and deliver executive-level reporting and governance updates.
  • Assist in development and maintenance of compliance policies and procedures.
  • Partner with teams to identify control gaps and implement enhancements.
  • Serve on cross-functional issues management initiatives and projects.
  • Provide backup support across US Wealth Compliance functions.

Benefits

  • Opportunities for professional growth and skill development.
  • Access to comprehensive compliance and regulatory resources.
  • Positive work environment that encourages teamwork and collaboration.
  • Engagement in initiatives that promote compliance culture within the organization.
Full Job Description
Work Location:
Fort Lauderdale, Florida, United States of America

Hours:
40

Pay Details:
$91,000 - $136,240 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:
Compliance
Job Description:

U.S. Wealth is a fully integrated wealth management business that provides products and services (designed for High-Net-Worth, Institutional and Mass Affluent clients of TD Bank, N.A. encompassing banking, custom credit, asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank N.A., TD Private Client Wealth LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes. The Financial Advisors, Relationship Managers, and Investment Advisors who are part of the client-facing Distribution teams are both securities-registered and insurance-licensed. Additionally, the Trust Advisors support both personal and corporate trust. The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.

As a member of the US Wealth Compliance Department, the Compliance Business Oversight & Reporting Manager will:

  • Lead Issue Management and Issue Governance activities for US Wealth Compliance, including issue intake, ownership assignment, monitoring, remediation tracking, escalation, and closure in accordance with enterprise governance standards.
  • Serve as the primary liaison between Compliance, business partners, and the Remediation Team to drive accountability, coordinate corrective action plans, and ensure timely resolution of compliance-owned issues.
  • Develop and deliver executive-level reporting, metrics, dashboards, and governance updates to provide senior leadership with visibility into issue status, remediation progress, risk trends, and key compliance matters.
  • Assist in the development, implementation, and maintenance of compliance policies, procedures, and governance frameworks by identifying policy and control enhancements resulting from issue management activities, remediation efforts, and governance reviews.
  • Partner with Operations, Technology, and business teams to identify control gaps, support remediation activities, and implement Compliance process and procedures enhancements arising from Issue Management and Governance activities.
  • Serve as a Compliance representative on cross-functional issues management initiatives, committees, governance forums, and strategic projects.
  • Provide backup support across US Wealth Compliance functions and participate in additional initiatives as required.


Job Summary:

The Compliance Administration Oversight & Reporting Manager ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.

Depth & Scope:
  • Works independently and is accountable for managing a specialized Compliance function or area
  • Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
  • Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
  • Provides 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
  • Manages/assists with regulatory reviews including inquiries, audits, and exams
  • Identifies and leads problem resolution for project/program complex requirements related issues at all levels


Education & Experience:
  • Undergraduate degree or equivalent work experience
  • 7+ years of experience


Preferred Background & Experience
  • Significant experience in Issue Management, Issue Governance, remediation oversight, and regulatory compliance reporting.
  • Experience managing issue inventories, corrective action plans, issue escalation, and governance routines.
  • Experience coordinating with Compliance, business partners, and remediation stakeholders to drive accountability and issue resolution.
  • Experience developing executive-level reporting, dashboards, metrics, and governance materials for senior leadership.
  • Experience working within an integrated U.S. wealth management and bank subsidiary environment, with knowledge of securities investment management, fiduciary activities, state insurance regulations, and securities regulatory requirements.
  • Knowledge of compliance, audit, legal and regulatory environments, enterprise governance frameworks, policies, standards, and reporting requirements.
  • Proficiency with ServiceNow, Archer/Merlin, Salesforce, and Microsoft Office applications, including PowerPoint, Excel, OneDrive, and Teams.
  • Strong business writing, reporting, and executive communication skills.
  • FINRA Series 7, 63, and 24 preferred.


Customer Accountabilities:
  • Proactively advises the business of new and changed Compliance regulatory and/or policy changes
  • Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
  • Contributes to the development and implementation of Compliance programs
  • Guides partner through the development, implementation, oversight and management of effective Compliance Programs
  • Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
  • Represents Compliance on internal or external committees relating to designated business activities as required
  • Delivers relevant subject matter expertise and Compliance advice to business management
  • Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
  • Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
  • Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate


Shareholder Accountabilities:
  • Actively assists in developing Compliance Team procedures
  • Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
  • Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
  • Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
  • May provide review and content in the development of annual awareness training
  • Manages the risk assessment process for assigned businesses
  • Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
  • Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
  • Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
  • Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
  • Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite


Employee/Team Accountabilities:
  • Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
  • Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
  • Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
  • Participates in personal performance management and development activities, including cross training within own team
  • Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
  • Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
  • Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
  • Contributes to a fair, positive and equitable environment that supports a diverse workforce
  • Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally


Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
  • Domestic Travel - Occasional
  • International Travel - Never
  • Performing sedentary work - Continuous
  • Performing multiple tasks - Continuous
  • Operating standard office equipment - Continuous
  • Responding quickly to sounds - Occasional
  • Sitting - Continuous
  • Standing - Occasional
  • Walking - Occasional
  • Moving safely in confined spaces - Occasional
  • Lifting/Carrying (under 25 lbs.) - Occasional
  • Lifting/Carrying (over 25 lbs.) - Never
  • Squatting - Occasional
  • Bending - Occasional
  • Kneeling - Never
  • Crawling - Never
  • Climbing - Never
  • Reaching overhead - Never
  • Reaching forward - Occasional
  • Pushing - Never
  • Pulling - Never
  • Twisting - Never
  • Concentrating for long periods of time - Continuous
  • Applying common sense to deal with problems involving standardized situations - Continuous
  • Reading, writing and comprehending instructions - Continuous
  • Adding, subtracting, multiplying and dividing - Continuous


The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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About TD Bank

TD Securities offers a range of advisory and capital market services to its clients. The company's range of services includes research, investment banking, capital markets, and global transaction banking. Research consists of commodity and equity research. Investment banking consists of mergers, acquisitions, industry expertise, and credit origination. Global transaction banking consists of trade finance, cash management, and correspondent banking. TD Securities was founded in 1855 and is based in Ontario.

TD Bank Careers

Join the vibrant team at TD Bank, one of North America's leading financial services organizations, where innovation, leadership, and growth go hand in hand. At TD Bank, we are committed to fostering a culture of diversity and inclusion, making it an ideal place for ambitious professionals to thrive. Work You’ll Do At TD Bank, your professional journey is bolstered by a robust support system. From your first interview to every career milestone, you will find opportunities for growth and leadership. Our team is dedicated to helping you develop the skills necessary for success in the ever-evolving financial sector. TD Bank offers a variety of job opportunities across multiple fields, from customer service to investment banking. Each position at TD Bank is a chance to contribute to our culture of innovation and exceptional client service. Internship Programs Kickstart your career with a TD Bank internship. Our programs provide invaluable industry exposure and hands-on experience, making them a perfect starting point for students and recent graduates eager to make their mark in the banking industry. Interns at TD Bank enjoy the unique opportunity to work alongside seasoned professionals, gaining insights that are crucial for future employment. Benefits and Growth TD Bank is deeply committed to the well-being and continuous growth of our team members. We offer competitive benefits packages that cover health, finance, and family care. Our employees enjoy comprehensive health insurance, retirement plans, and generous paid time off, among other perks. Moreover, TD Bank encourages professional development through various training programs, including leadership development and diversity training. These initiatives ensure that our team remains at the forefront of industry standards and best practices. Join Our Team Explore the numerous career paths available at TD Bank and discover how your skills and interests align with our mission. We are actively hiring and continually looking for talented individuals who are passionate about banking and customer service. Networking and Professional Development At TD Bank, we believe in the power of networking and collaboration. Our employees have access to a wide range of networking events, workshops, and seminars that promote career development and professional growth. These platforms not only enhance your professional skills but also expand your industry connections. Stay Connected Keep up to date with the latest at TD Bank Careers by subscribing to our job alert emails. Tailor your subscription to match your career preferences and get the latest news, insider tips, and job opportunities delivered straight to your inbox. Explore job opportunities at TD Bank and be part of a team that values hard work, creativity, and a diverse workplace culture. Your next great career move is just a click away. SEARCH TD BANK JOBS Join us at TD Bank and let your ambition lead you to a rewarding career filled with opportunities to learn, grow, and innovate.
Learn more about TD Bank
Size
90,000 employees
Market Cap
$117.9 billion
Industry
Finance & Insurance
Net Income
-$6.9 million
5 Year Trend
+6.6%
* Ladders Estimates

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