Senior Manager Compliance

TD Description

About TD Bank, America's Most Convenient Bank®

TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit Find TD Bank on Facebook at and on Twitter at

TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit

Department Overview

o The Senior Manager, Compliance manages assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across a fully-integrated wealth management business that includes a dual-registered broker-dealer and investment adviser, banking offices, and operating departments. The Senior Manager, Compliance Interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Senior Manager Compliance employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The job manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. Supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.

Job Description

o Oversees projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company
o Interacts with management at most senior level
o Analyzes and reports performance information to develop internal processes to identify and manage compliance risks
o Oversees and encourages process improvement efforts within and across department team
o Maintains in-depth knowledge of current FINRA, SEC, state and related regulations and issues
o Leads, manages and conducts monitoring/surveillance of financial advisor securities activities and investment advisory activities through the use of exception reports and other resources to identify and resolve compliance and regulatory issues
o Leads and conducts reviews of advertising and marketing material in accordance with FINRA rules and regulations
o Oversees and provides guidance regarding email surveillance and providing guidance and training to the branches
o Reviews trend analyses of RIMS, Implementation, and self monitoring reports for assigned teams to ensure department standards are met
o Approves expense reports for assigned group and assists CCO with budget planning
o Participates in bank acquisition due diligence efforts, as assigned
o Speaks at relevant conference forums
o Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management
o Oversees special projects and initiatives, including those related to regulatory audits and examinations.
o Oversees the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming
o Serves as senior project manager for the development, testing, and implementation of new department databases and major database enhancements
o Manages the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations
o Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations
o Serves as final approver of RIMS and implementation documentation (except BLMs)
o Manages the development of appropriate policies and procedures to provide for compliance with the most critical laws and regulations having a significant impact on the operations or strategy of the Company
o Reviews conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger

Job Requirements

o Bachelor's degree or progressive work experience in addition to experience below
o 7-10 years related experience required (at a bank broker-dealer or as SEC or FINA examiner preferred)
o FINRA Series 7 and 24 licenses required. Series 65 recommended
o Certified Regulatory Compliance Manager (CRCM) strongly preferred
o Demonstrated broad working knowledge of federal and state securities applicable laws and regulations
o Familiarity with broker-dealer compliance, Pershing NetX360, Envestnet and Global Relay systems a plus
o Demonstrated ability to develop project plans and independently coordinate and complete projects
o Excellent written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
o Proven ability to influence others actions and decisions without express authority
o Proven ability to analyze complex laws and regulations and relate those laws to procedures of assigned areas
o Proven ability to develop and maintain strong internal and external business relationships
o Excellent analytical skills
o Proven ability to employ desktop technologies to advantage, developing systems and tools for auditing, testing and reports
o Proficiency in Microsoft Office other utility applications (e.g., Adobe Acrobat)
o Proficiency in Microsoft Excel and Access
o Demonstrated knowledge of database programming languages


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.