Senior Compliance Programs & Oversight Leader

TD Bank

Mount Laurel Township (NJ)

On-site

USD 124,000 - 186,000

Full time

5 days ago

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Job summary

TD Bank US Compliance seeks a Senior Compliance Business Oversight Manager to advise on Compliance/Center of Excellence programs, aligned with the bank’s risk philosophy and strategic direction. You will lead day-to-day operations, design and deploy forward-thinking compliance programs, and work with senior management to shape a scalable framework across wealth and broker-dealer activities.

The ideal candidate has 10+ years of experience, an undergraduate degree, and FINRA licenses; strong

Qualifications

Undergraduate degree or equivalent work experience.
10+ years of experience in a related role.
Experience building and developing a team within US Wealth Compliance.
Experience in an integrated wealth business (bank subsidiary, securities, fiduciary activities).
FINRA Series 7, 63 and 24 preferred.
Experience writing policies, guidance, procedures and training.
Knowledge of compliance, audit, regulatory environments and enterprise governance.

Responsibilities

Proactively advises on compliance regulatory changes and policy updates.
Develops and oversees Compliance programs and governance frameworks.
Guides senior management on strategy and execution for complex compliance initiatives.
Leads cross-functional collaboration to implement scalable controls and processes.
Maintains oversight of management reporting and analysis across TD Bank.