Senior Manager, Compliance Testing - Wealth Compliance

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$115,440 - $186,160 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:

Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

Job Description Summary:

The Senior Manager, Compliance Testing oversees and develops team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements.  This role provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group.  Provides assistance/expertise to other Compliance testing teams as appropriate.

Depth & Scope:

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Responsible for the timely execution of the Compliance testing plan

• Typically deals with senior/executive management in communicating Compliance testing results

• Leverages deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas through testing engagements

• Provides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals cascade to all workers

• Guides talent identification and development processes

• Key contact for dealing with a range of complex issues, including non-routine information

• Manages and prioritizes the team to deliver on multiple reviews and projects at a given time

• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & Experience:

• Undergraduate degree or equivalent work experience

• 10+ years of experience

Desired Skills & Experience

• Experience with testing SEC, FINRA, MSRB and state securities regulatory requirements; Regulation 9 (bank fiduciary regulatory requirements); state insurance (annuities and life insurance) regulatory requirements.

Customer Accountabilities:

• Manages teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards

• Conducts skilled analytical research and analysis as part of the testing engagement and initiatives

• Develops, implements, tracks, and reports on Compliance testing schedules

• Provides overall strategic direction to support the Compliance Testing Program, Procedures, and processes so that they stay current with established standards and regulatory expectations

• Acts as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams for area of specialization

• Reports on emerging trends, identifying risks and opportunities, and recommending action to senior management

• Understands risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best bus