Senior Compliance Business Oversight Analyst. TD Private Client Wealth

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$68,640 - $112,320 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.

The Ideal Candidate:

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. management areas, broader organization, and enterprise as appropriate.

As a member of the US Wealth Compliance Department, the Compliance Business Oversight Analyst duties:

• Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws.
• Help mitigate risk and ensure the firm meets regulatory obligations.
• Handle the onboarding and offboarding of new hires.
• Provide training to the field on various regulatory topics, including onboarding new hire training.
• Delivers relevant subject matter expertise and Compliance advice to business management.
• Assist senior compliance managers with regulatory engagements, including on-site exam coordination, document production and maintenance and reporting of related management information.
• Understand and manage licensing & registrations systems (i.e., FINRA – Gateway), background and fingerprint screening processes, and their downstream impact.
• Assist business in obtaining study materials and manage and report on examination windows.
• Prepare and submit required regulatory forms for registering or terminating personnel in accordance with FINRA, SEC, and State laws, rules and requirements.
• Escalate and help respond to internal inquiries and resolve registration issues with regulators, including state agencies.
• Keep and maintain supervisory org structure.
• Review and escalate employee OBA, personal account, and political contribution submissions via internal compliance systems as necessary.
• Assist with maintenance and implementation of the Firm’s policies & procedures related to broker dealer policies, training materials, and certifications.
• Various on-going initiatives and ad-hoc projects, as needed.

Job Summary:

The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice to assigned portfolio, business or function to promote strong Compliance controls and p