Compliance Business Oversight Manager
TD
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • Maine • New Jersey • United States
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Salary
💰 $91,000 - $145,600 per year
About the role
- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable laws
- Assist in regulatory requests and exams, manage responses to inquiries
- Develop and maintain compliance policies and procedures
- Monitor regulatory compliance and provide training on various topics
- Conduct compliance testing, surveillance, and risk assessments
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Experience in regulatory compliance management or audit within the banking sector
- Knowledge of current and emerging trends in compliance management systems
- Proficiency in MS Office Suite, including PowerPoint, Excel, OneDrive, Teams
- FINRA Series 7, 63, and 24 preferred
Benefits
- Health and well-being benefits
- Savings and retirement programs
- Paid time off
- Career development
- Reward and recognition
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory compliance managementcompliance testingsurveillancerisk assessmentscompliance policiescompliance proceduresaudit
Soft Skills
trainingcommunication
Certifications
FINRA Series 7FINRA Series 63FINRA Series 24