Compliance Manager (US)


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Non-Executive Management

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? Manages the performance of independent compliance reviews that measure adherence to federal and state law regulatory requirements impacting business lines, as well as compliance reviews of compliance units (CUs) within Compliance Risk Management (CRM) to ensure compliance with CRM mandates and CRM/CU internal policies and procedures? Designs and ensures execution of risk-based compliance reviews and ensures work is performed in accordance with Compliance Process Certification methodology and consistent with Compliance Risk Managements objectives and standardsMaintains knowledge of current FINRA, SEC, state and related regulations and issues.Conducts reviews of advertising and marketing material in accordance with FINRA/SEC rules and regulations? Serves as initial reviewer/approver of assigned business line self-monitoring work papers? Identifies and analyzes issues to determine root causes? Conducts regulatory research that may involve internal or outside counsel or third party assistance? Stays current on regulatory changes, and changes to CRM mandates and internal policies and procedures to understand impact and ensure compliance review procedures are updated as appropriate? Works closely with management of other areas within Compliance Risk Management as well as routinely interacts and maintains highly effective partnerships with line of business management and staff? Prepares reports of findings and presents to senior compliance and business line management, as well as heads of compliance units as applicable? Provides assistance, support and management of other projects as assigned? May serve as primacy compliance contact and coordinates the compliance function for assigned line of business through the development and monitoring of compliance programs within the larger compliance framework developed? Manages vendor management process for any vendors utilized by assigned team? Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by managementMay lead a team of specialists? May manage the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations? Assists in the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/mergerInclusiveness:At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential. If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@ . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.Province/State:New YorkCity:New York CityWork Location:2 Wall StreetBusiness Line:TD Bank AMCBJob Category - Primary:Anti-Money Laundering / Compliance & Regulatory RelationsJob Category(s):Anti-Money Laundering / Compliance & Regulatory Relations**Province/State (Primary):New YorkCity (Primary):New York CityJob Family:Compliance Business OversightTime Type:Full TimeEmployment Type:Regular
Associated topics: attorney, business, company, compliance department, corporate, corporate attorney, courtroom, internal, lawyer, legal * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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