Compliance Governance – Operations Manager
TD
Compliance Business Oversight Manager
TD
full-time
Posted on:
Location Type: Hybrid
Location: Mount Laurel • Maine, New Jersey, New York, North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $86,840 - $139,360 per year
Job Level
SeniorLead
About the role
- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules
- Assist in regulatory requests and exams
- Help mitigate risk and ensure regulatory compliance
- Partner with operations, technology, and business teams
- Conduct periodic compliance testing, surveillance, and risk assessments
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Experience working in an integrated wealth business as a bank subsidiary, focusing on securities investment management and fiduciary activities
- Knowledge and experience within compliance or audit, legal and regulatory environment
- Ability to research, interpret and summarize relevant regulatory expectations
Benefits
- Health and well-being benefits
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Retirement programs
- Career development and training
- Banking benefits and discounts
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft skills
ability to researchability to interpretability to summarize
