Compliance Risk Assessment Lead
TD
full-time
Posted on:
Location Type: Hybrid
Location: New York City • Maine • New Jersey • United States
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Salary
💰 $115,440 - $186,160 per year
Job Level
About the role
- Serve as Compliance lead for managing and facilitating the U.S. Compliance Risk Assessment
- Manage the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified
- Provide subject matter expertise and leadership to Oversight Functions and other assessment participants
- Drive program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
- Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of experience
- Minimum of 10 years of prior regulatory, compliance, and/or risk management experience
- Experience conducting a Compliance Risk Assessment
- Strong knowledge of laws, rules, regulations related to consumer and commercial banking, securities, and wealth management businesses
- Advanced proficiency in desktop tools including Microsoft Office Suite
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
- Career development and mentorship
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Compliance Risk Assessmentregulatory compliancerisk managementdata analyticsprogram reportinginternal controlsmethodology design
Soft Skills
leadershipsubject matter expertisecollaboration