Senior Manager – Compliance Business Oversight – Operational – Digital and Process Compliance
| Company | TD Bank |
|---|---|
| Location | Fort Lauderdale, FL, USA, New York, NY, USA |
| Salary | $110760 – $178880 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior, Expert or higher |
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of experience
Responsibilities
- Develop, update, and enforce compliance policies and procedures relevant to operational and digital activities, including eSign.
- Identify, assess, and mitigate compliance risks related to all digital and traditional platforms.
- Collaborate with technology teams to evaluate and implement new platforms, ensuring compliance with regulatory requirements.
- Provide guidance in the development of operational frameworks to ensure the business has implemented proper controls to ensure regulatory compliance.
- Ensure compliance for the Digital Advisor platform, ensuring regulatory adherence and integration with core business functions.
- Provide oversight and guidance on compliance requirements specific to Digital Advisor tools and systems.
- Collaborate with product and operations teams to ensure platform aligns with regulatory frameworks and industry standards.
- Monitor and assess the Digital Advisor’s impact on client outcomes and operational compliance.
- Monitor and assess vendor and third-party and compliance programs to ensure adherence to company policies and regulatory standards.
- Conduct period reviews, testing, and risk assessments of third-party relationships.
- Support remediation efforts for identified compliance gaps, such as 13F reporting and the oversight of Global Relay for communication oversight.
- Ensure alignment with regulatory requirements and industry best practices.
- Conduct monitoring and testing in the area specified as required.
Preferred Qualifications
- Experience overseeing cross-functional processes, ensuring alignment with strategic objectives
- Strong knowledge of regulatory frameworks, including SEC, FINRA, OCC and other relevant bodies
- FINRA 7, 24 licenses required or ability to obtain within 90 days
- Experience with compliance for digital platforms, technology solutions, and third-party relationships
- Proficiency with tools like Global Relay and knowledge of 13F filing requirements preferred
- Exceptional project management, analytical, and communication skills
- Bachelor’s degree in Business, Technology, Law or related field
- 5+ years of experience in compliance operational oversight, or technology compliance with financial service.