TD

Compliance Business Oversight Manager – Fiduciary and Trust

TD

full-time

Posted on:

Location Type: Office

Location: Mount Laurel • Maine, New Jersey, New York, North Carolina, South Carolina • 🇺🇸 United States

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Job Level

SeniorLead

About the role

  • Manage the regulatory change management process and regulatory compliance policies, procedures, training development and corporate compliance programs
  • Support the business in identifying, assessing, and implementing regulatory change
  • Oversee business changes to policies, procedures, systems, and/or controls via action plans or projects
  • Support implementation and execution of enterprise Compliance programs including risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives, frameworks, policies, standards and procedures
  • Independently test, monitor and assess adherence to and effectiveness of Compliance Management System (CMS) programs and controls across U.S. Wealth businesses
  • Deliver independent challenge and objective guidance to business units and represent Compliance on internal/external committees
  • Prepare summaries, presentations, briefing notes and other documentation to report on status of Compliance
  • Manage regulatory reviews including inquiries, audits, and exams and oversee finding tracking and remediation
  • Lead problem resolution for complex project/program requirements and manage high risk initiatives and escalations
  • Facilitate periodic Compliance risk and self-assessment activities and manage the risk assessment process for assigned businesses
  • Mentor and provide guidance to analysts and contribute to team development and knowledge transfer

Requirements

  • Undergraduate degree or equivalent work experience
  • 7+ years of experience
  • Experience working in an integrated wealth business as a bank subsidiary (preferred)
  • Focus on securities investment management and fiduciary activities (preferred)
  • Knowledge of state insurance regulatory requirements and securities regulatory requirements for NDIP (preferred)
  • Relevant certifications preferred such as Certified Fiduciary & Investment Risk Specialist (CFIRS) or Certified Trust and Fiduciary Advisor (CTFA)
  • Familiarity with Office of the Comptroller of Currency (OCC) governance including fiduciary and investment handbooks (preferred)
  • Knowledge and experience within compliance or audit, legal and regulatory environment
  • Knowledge of enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
  • Knowledge of current and emerging trends and regulatory expectations for effective compliance management systems
  • Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts
  • Skill in using computer applications including MS Office Suite
  • Ability to independently identify, assess, and escalate issues requiring senior management attention
  • Strong analytical skills and attention to detail
  • Ability to work both individually and as a team
Benefits
  • base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
  • health and well-being benefits
  • savings and retirement programs
  • paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
  • banking benefits and discounts
  • career development and skill development opportunities
  • reward and recognition
  • training and onboarding sessions
  • regular leadership and development conversations
  • online learning platform and mentoring programs
  • competitive benefits plan
  • accommodation for applicants with disabilities during application process

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
regulatory change managementcompliance management systemrisk assessmentscompliance programsauditregulatory compliancesecurities investment managementfiduciary activitiesproblem resolutiondata analysis
Soft skills
mentoringguidancecommunicationanalytical skillsattention to detailteamworkindependent researchissue escalationpresentation skillsdocumentation
Certifications
Certified Fiduciary & Investment Risk Specialist (CFIRS)Certified Trust and Fiduciary Advisor (CTFA)