Compliance

• Day-to-day Client Care, including problem resolution
• Assisting, teaching, coaching and mentoring team members as needed in support of the day-to-day transactional processing and client needs
• Keeping up to date on current CBP regulations and PGA programs, researching as necessary to assist clients and associates
• Engage in carrier, vendor, Customs and client communication via telephone and email
• Audit entries for quality control
• Creation and maintenance of internal client work instructions
• Assist as needed in executing accurate customs entries in brokerage systems for all modes of transportation, ensuring timely processing and submission to Customs
• Client database maintenance, including FTA correlations and updating annual certificates
• Other duties, as required

Trade Compliance Specialist

• Develop and lead Casepoint’s enterprise Governance & Compliance strategy, ensuring scalable governance practices that support business growth and customer trust.
• Own enterprise privacy, compliance, AI governance, information governance, and corporate policy programs.
• Establish governance frameworks for emerging technologies, including responsible AI, data governance, and regulatory compliance.
• Partner with Executive Leadership to proactively identify, assess, and manage regulatory, contractual, operational, and technology-related risks.
• Provide executive oversight of the contracts function by partnering with the Director of Government Contracts on strategy, governance, risk management, and operational priorities.
• Collaborate with Sales, Product, Finance, Security, Legal, Engineering, and Customer Success to enable growth while balancing business objectives with appropriate governance.
• Develop executive reporting, governance metrics, and compliance dashboards to support informed decision-making.
• Drive continuous improvement through scalable processes, automation, and technology-enabled governance solutions.
• Monitor evolving regulatory requirements and industry best practices, recommending proactive enhancements to governance programs.

VP, Governance and Compliance

• Provide compliance oversight for Retail Branch, Contact Center, and Marketing distribution channels
• Complete change risk assessments and related questionnaires for new business initiatives
• Serve as compliance advisor to business partners through meetings and process reviews
• Manage and track compliance-related issues, ensuring regulatory alignment
• Lead regulatory change management efforts for new and updated state laws
• Monitor regulatory complaints, business reports, and key risk indicators
• Collaborate with cross-functional teams to strengthen the compliance framework

Compliance Business Oversight Manager – Consumer Banking

• Day-to-day Client Care, including problem resolution.
• Assisting, teaching, coaching and mentoring team members as needed in support of the day-to-day transactional processing and client needs.
• Keeping up to date on current CBP regulations and PGA programs, researching as necessary to assist clients and associates.
• Engage in carrier, vendor, Customs and client communication via telephone and email.
• Audit entries for quality control.
• Creation and maintenance of internal client work instructions.
• Assist as needed in executing accurate customs entries in brokerage systems for all modes of transportation, ensuring timely processing and submission to Customs.
• Client database maintenance, including FTA correlations and updating annual certificates.

• Provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction
• Works independently and is accountable for managing a specialized Compliance function or area
• Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
• Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
• Provides guidance and support to analysts on matters related to portfolio and specialty
• Typically a subject matter expert for a key functional Compliance area and business
• Manages/assists with regulatory reviews including inquiries, audits, and exams
• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Compliance Oversight Manager – Real Estate Secured Servicing

• Leads and acts as the business program owner and foremost subject matter expert in the development and implementation of methodologies and practices to gain insights from compliance data.
• Works along with Compliance partners, business associates, and other stakeholders to develop and enhance compliance risk and performance metrics, measures, and dashboards to better understand compliance risk and the operational risk attendant to the execution of our compliance risk management programs.
• Partners with the U.S. CCO and the rest of the U.S. CSET to move from information to actionable intelligence.
• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required.
• Executes on U.S. Initiatives in accordance with the TD Global Compliance Department Mandate and the Regulatory Compliance Management Program.
• Owns KPIs and certain other key metrics for U.S. Compliance, responsible for compliance data roadmap, and responsibility for coordinating with peers on related reporting of actionable insights and intelligence.
• Owns remediation activities related to data and enabling of data insights.
• Facilitates the support of strategy for the Compliance team by supporting the design and implementation of stakeholder engagement plans, programs, and projects to support strategic U.S. and Compliance objectives.
• Leads the strategy and long-term enablement and capabilities planning for compliance data insights by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions.
• Leads strategic program initiatives to continuously improve Compliance enablement and capabilities.
• With Compliance and Risk partners promotes a strong governance & control environment with periodic assessments against industry practices.

Head of US Compliance Data Insights

• Serve as Compliance lead for managing and facilitating the U.S. Compliance Risk Assessment
• Manage the Compliance Risk Assessment framework
• Provide subject matter expertise and leadership to Oversight Functions
• Support Oversight Functions with defining and logging regulatory issues
• Drive program reporting analytics and insights in collaboration with Compliance Data Analytics team

Compliance Risk Assessment Lead

• Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment and reports up into the U.S. Head of Compliance Programs
• Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
• Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
• Provides subject matter expertise and leadership to Oversight Functions and other assessment participants and serve as single point of contact for stakeholders on assessment methodology, guidance, and applicable leading practices
• Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
• Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
• Support 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
• Possesses strong functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential.

Compliance Risk Assessment Manager

• Supports the overall coordination of US regulatory remediation
• Leads trends and issues that impact compliance initiatives
• Drives compliance accountabilities for the compliance remediations
• Provides coaching, mentorship and guidance to practitioners and business

Senior Compliance Transformation Manager

• Supports the identification, assessment, control, and monitoring of escalated U.S. Compliance risks
• Supports governance, reporting insights, and oversight for identified issues
• Proficient in articulation of compliance risks to line of business stakeholders
• Acts as the primary subject matter expert for Compliance Program elements
• Provides advanced analysis and/or specialized reporting to support business partners

Senior Compliance Analyst – Regulatory Issue Management

• Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment.
• Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities.
• Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages.
• Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans.
• Support the review of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge.
• Support 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.

Senior Compliance Risk Assessment Associate

• Implement and maintain Compliance programs in accordance with the Office of Inspector General's work plan.
• Educate providers regarding compliance with government regulations.
• Assist in performing analysis of current situations and recommend priorities and goals for future clinic needs.
• Identify coding and billings risk areas, conduct focused reviews, and implement corrective action as needed.
• Conduct routine internal audits of provider documentation on a timely basis.
• Collaborate with physicians and internal staff in development of improved capabilities in the areas of documentation, coding, and compliance.
• Review internal controls, policies, and procedures to ensure compliance with appropriate guidelines.
• Communicate with Medicare/Medicaid Carriers and third party payers regarding policies and procedures.
• Promote Compliance initiatives with clinical faculty and administration.

Compliance Specialist – Inpatient

• Review MDX-related activities, communications, and materials for regulatory compliance
• Draft, update, and maintain operational risk controls and manage control inventories
• Support internal and external audits by gathering documentation and responding to inquiries
• Assist with complaint review, tracking, and root-cause analysis
• Actively participate in PRCI and RCSA activities, supporting risk identification, assessment, and documentation efforts
• Research federal and state regulatory requirements and apply them practically
• Help build, refine, and improve compliance processes

Senior Compliance Administrator

• Support our clients compliance related requirements and requests through leveraging experience, knowledge, and independent resolution
• Provide leadership by example and serving as a technical resource
• Prepare and quality control IRS Large Form 5500
• Expertise with annual compliance testing (ADP/ACP, 410(b) 415, 402(g))
• Perform and quality control advanced client requested calculations
• Support Client Service teams through timely comment resolution and phone support
• Participate in annual Post Mortem meetings to continuously improve Client Experience
• Train and mentor associates in Compliance Services
• Assist the Leadership team with the review and quality control of external communications

Compliance Coordinator II

• Provide compliance oversight, guidance, and challenge across Deposit Product and/or Backoffice Operations.
• Serve as primary compliance support for assigned business lines, providing oversight and independent challenge on business activities and initiatives with regulatory impact.
• Complete change risk assessments and related questionnaires for new business initiatives, performing review and challenge of inherent regulatory risks, mitigations, and outlining conditions to launch; as well as presentation to executives for approval.
• Serve as a compliance advisor to business partners through regular meetings and process reviews.
• Manage and track compliance-related issues, ensuring timely resolution and regulatory alignment.
• Lead regulatory change management efforts for new and updated state laws, ensuring effective business adoption and compliance.
• Monitor regulatory complaints, business reports, and key risk indicators to identify trends, gaps, and potential compliance risks.
• Review and validate first-line testing to ensure gaps are addressed and aligned with regulatory expectations.
• Collaborate with cross-functional teams to strengthen the compliance framework and reduce risk exposure.

Compliance Business Oversight Manager

• Lead the development, maintenance, and continuous improvement of enterprise policies, standards, controls, and implementation procedures
• Translate regulatory, contractual, and cybersecurity requirements into actionable governance and control requirements
• Design, maintain, and optimize the enterprise control framework, including control rationalization, consolidation, and framework alignment activities
• Partner with cybersecurity, infrastructure, engineering, cloud, application, data governance, privacy, and compliance teams to ensure governance requirements are practical, feasible, and align with business and operational needs
• Provide subject matter expertise related to control intent, implementation expectations, regulatory interpretation, and governance best practices
• Support governance modernization initiatives, ServiceNow IRM policy management, and control automation efforts to improve scalability, consistency, and efficiency
• Develop and support control policies and strategies, prepare governance reporting, and communicate program status, priorities, and progress to stakeholders and leadership

Senior GRC Analyst

Senior Governance, Risk, & Compliance (GRC) Analyst

• Oversee and develop team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements
• Provide guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group
• Responsible for the timely execution of the Compliance testing plan
• Typically deal with senior/executive management in communicating Compliance testing results
• Leverage deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends
• Provides guidance and clarity around priorities and goals for Compliance testing program and work with managers to ensure the goals cascade to all workers
• Manage and prioritize the team to deliver on multiple reviews and projects at a given time

Senior Manager, Compliance Testing

• Planning and overseeing independent Compliance testing
• Providing subject matter expertise on Compliance controls/processes
• Executing independent testing as applicable
• Leading all phases of assigned testing or validation engagement

Compliance Testing Manager – Wealth

• Coordinate and support the implementation and maintenance of an effective Compliance Management System for all relevant areas in accordance with Group compliance requirements as well as local laws and regulations.
• Support leadership and their departments in assuming and executing its responsibility to implement and maintain an effective compliance program at the unit level.
• Perform and coordinate the Compliance Risk Assessment and Monitoring Process (CRM&M), including compliance measure allocation and documentation, in collaboration with the unit's risk owner.
• Provide feedback to parent company regarding compliance effectiveness at the unit level for the Annual Effectiveness Evaluation in accordance with CRM&M requirements.
• Evaluate and address local compliance matters, and escalate higher risk matters to the respective Local Compliance Officer (LCO).
• Implement and maintain clear compliance standards and applicable processes consistent with the compliance program and Code of Conduct.
• Continuously assess and improve these standards and processes to ensure they remain effective and efficient.
• Develop and deliver innovative, engaging communication strategies to raise awareness on compliance topics among internal stakeholders and external business partners.
• Design and conduct risk-oriented, interactive training sessions for high-risk units, leveraging modern learning methodologies and technologies.
• Foster and lead cross-functional collaboration on compliance matters with management and all employees.
• Assist in maintaining and improving effective unit governance structures and procedures for compliance oversight.
• Participate in the internal Compliance Qualification Program, in alignment with the respective LCO.
• Pursue continuous learning opportunities to stay at the forefront of compliance best practices and emerging trends.

Compliance jobs in South Carolina

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Trade Compliance Specialist

VP, Governance and Compliance

Compliance Business Oversight Manager – Consumer Banking

Trade Compliance Specialist

Compliance Oversight Manager – Real Estate Secured Servicing

Head of US Compliance Data Insights

Compliance Risk Assessment Lead

Compliance Risk Assessment Manager

Senior Compliance Transformation Manager

Senior Compliance Analyst – Regulatory Issue Management

Senior Compliance Risk Assessment Associate

Compliance Specialist – Inpatient

Senior Compliance Administrator

Compliance Coordinator II

Compliance Business Oversight Manager

Senior GRC Analyst

Senior Governance, Risk, & Compliance (GRC) Analyst

Senior Manager, Compliance Testing

Compliance Testing Manager – Wealth

Corporate Compliance Analyst