Wealth Compliance & Risk Controls Lead

TD Bank Group; Mount Laurel Township (NJ); On-site; USD 91,000 - 146,000; Full time

Job summary

TD Bank Group in Mount Laurel, New Jersey, is seeking a regulatory and compliance professional to support Wealth Conflicts of Interest programs and related governance activities. This role involves monitoring, reporting, and coordinating licensing, registration, and regulatory filings across the Wealth unit.

The position requires strong knowledge of Regulation W, affiliate transactions, and risk controls, with experience in governance frameworks and interactions with regulators and senior

Qualifications

• Bachelor's degree required; advanced degree preferred.
• 5+ years of experience in wealth management, risk management, compliance, regulatory oversight, or operational governance.

Responsibilities

• Coordinate administration of the Wealth Conflicts of Interest program.
• Maintain conflict inventories, logs, attestations, and supporting documentation.
• Perform monitoring activities and escalate potential conflicts.
• Prepare reporting packages for governance committees and management review.
• Support licensing and registration activities for registered personnel.
• Monitor renewal requirements and continuing education obligations for registrations.

Skills

Regulatory compliance

Risk management

Regulatory governance

Education

Bachelor's degree

Advanced degree preferred

Job description

TD Bank Group in Mount Laurel, New Jersey, is seeking a regulatory and compliance professional to support Wealth Conflicts of Interest programs and related governance activities. This role involves monitoring, reporting, and coordinating licensing, registration, and regulatory filings across the Wealth unit.

The position requires strong knowledge of Regulation W, affiliate transactions, and risk controls, with experience in governance frameworks and interactions with regulators and senior