Compliance Programs Manager

Industry: Accounting, Finance & Insurance


5 - 7 years

Posted 31 days ago


The Manager, Compliance Programs will be an integral member of the Retail Compliance team, responsible for managing the Firm’s oversight efforts in Compliance & Governance (i.e. 3120/3130 Internal Controls/Annual CEO Attestation, Regulatory Entity Oversight Reporting, and E-Communications Governance. The role will require an experienced tech-savvy individual with a strong understanding of databases, reporting systems, and data analysis procedures. The individual will discover efficient ways to organize, analyze, store, and report regulatory oversight data withattention to security and confidentiality.
Responsibilities will also include developing and enhancing oversight programs, systems and infrastructure which enable the department’s mission, improve the end user experience, facilitate business partner and vendor relationships, reduce or eliminate redundancies and other inefficiencies while providing greater transparency of Compliance’s work. The role will also assist the Director in additional projects and tasks as assigned.
This role is a highly specialized position which requires knowledge of the securities industry, data system development, and applicability of federal and state rules and regulations. The goal is toensure meaningful regulatory reporting and information flows in a timely and secure manner within Compliance, legal, and business partners.


  • Complete analytical work with management and department reporting of volumes, metrics and risks
  • Compile and distribute regular periodic and ad hoc reporting, including:
  • FINRA rules 3120/3130 reporting, Broker/Dealer Oversight reporting, Regulatory Risk Committee reporting, KPI/KRI reporting
  • All other management reporting as needed across all areas of Compliance
  • Work with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSA’s) for program activities
  • Formulate techniques for quality data collection to ensure adequacy, accuracy and legitimacy of data to be reported out
  • Devise and implement efficient and secure procedures for data handling and analysis with attention to all technical aspects
  • Establish rules and procedures for data sharing with upper management, external stakeholders etc.
  • Create and assist with reports and data extraction when needed
  • Monitor and analyze information and data systems and evaluate their performance to discover ways of enhancing them (new technologies, upgrades etc.)
  • Ensure digital databases and archives are protected from security breaches and data losses
  • Troubleshoot data-related problems and authorize maintenance or modifications
  • Serving as vice-chair and facilitating meeting agendas and material for the E-Communications Governance committee
  • Serving as business owner of the Firm’s E-Communciations vendor (Global Relay) relationship, including work on vendor roadmaps and any resulting projects
  • Receiving, analyzing, processing and documenting all requests by Business users (access/permissions, roles, hierarchy, advanced flagging rules, lexicon lists).
  • Serve as an SME and POC across Compliance for new and existing application upgrades, enhancements, projects etc.
  • Utilize reporting to present information as assigned by management
  • Identify opportunities and present ideas regarding process effieciencies (for reporting, workflows, new tools, etc)


  • BA/BS Degree; Computer Science or relevant field
  • 3-5 years compliance experience
  • 5-7 years brokerage or brokerage related experience
  • Must possess knowledge of FINRA and SEC rules and regulations relating to broker/dealers and investment advisors.
  • Prior experience as data manager
  • Excellent understanding of data administration and management functions (collection, analysis, distribution etc.)
  • Familiarity with modern database and information system technologies
  • An analytical mindset with problem-solving skills
  • Excellent communication and collaboration skills
  • Highly self-motivated and work well independently
  • Must be able to prioritize tasks and work well under pressure
  • Demonstrate strong attention to detail
  • Ability to research information across a variety of TD Ameritrade systems
  • Be a self-starter who can quickly and independently assess business requirements and become a trusted and integral partner
  • PC proficiency and solid working knowledge of Microsoft Office (MS Word, Excel, PowerPoint, etc.)
  • Capability of handling multiple issues utilizing a variety of systems and resources.
  • Ability to enforce company policies in accordance with applicable regulations and procedures.
  • Must possess ability to set the example in all facets of support and professional conduct.
  • Series 7 and 24 licenses preferred
  • Military education or experience may be considered in lieu of civilian requirements listed