Senior Compliance Business Oversight Analyst

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$68,640 - $123,320 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.

Summary about the group:

U.S. Compliance Complaint/Marketing Review team reviews marketing materials and complaints, tracks remediation efforts and assists in remediation of Compliance-owned findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, regulatory agencies and provides advice and guidance for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness.

Summary about role:

In this position, the Senior Compliance Business Oversight Analyst  will own assigned complaints and marketing material review, run stakeholder meetings, research and review all complaints, identify potential concerns, escalate as necessary and recommend a resolution.  The Senior Compliance Business Oversight Analyst  will review marketing communication, provide input for periodic management reporting, and oversee action plan development and remediation processes for Compliance-owned findings.  The Senior Compliance Business Oversight Analyst  will assist in U.S. and Global Compliance projects as necessary.

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 processes are in effect to mitigate inherent associated risks. This role contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws.

Depth & Scope:

• Expected to exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to significant regulatory compliance risk matters.
• Empowered to make prudent professional decisions in rendering