Senior Manager, Compliance Testing – Wealth Compliance
TD
full-time
Posted on:
Location Type: Office
Location: Mount Laurel • Maine • New Jersey • United States
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Salary
💰 $115,440 - $186,160 per year
Job Level
About the role
- Oversees and develops team(s) conducting independent Compliance testing to meet regulatory and internal requirements
- Provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives
- Manages the execution of the Compliance testing plan
- Deals with senior/executive management in communicating Compliance testing results
- Leverages deep industry knowledge to identify operational efficiencies and opportunities
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of 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.
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Career development opportunities
- Training and onboarding sessions
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft Skills
leadershipcoachingguidancecommunicationoperational efficiency