Manager, Compliance Testing - EPOCH

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

Job Description

The Manager, Compliance Testing leads and develops team(s) responsible for planning and overseeing independent Compliance testing. This role is responsible for leading all phases of the assigned testing engagement. Provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for their team.

Job Requirements

  • Must be eligible for employment under regulatory standards applicable to the position.

  • ● Typically a subject matter expert for a functional area
    ● Key contact for business management and dealing with non-routine information
    ● Focus is on short to mid-term planning (6 -12 months)
    ● Deep knowledge and understanding of businesses and organizational practices/disciplines
    ● Sets operational team direction and collaborates with others to execute on common goals Oversees management of team requiring workforce to decision on acceptable level of risk Moderate to High risk potential (loss/reputational) for functional area
    Knowledge and experience in the below Compliance areas preferred
    Charles River Portfolio Compliance
    • New client on-boarding of client restrictions/ guidelines for institutional and sub-advisory clients
    • Testing of all client guidelines prior to investment account going live
    • Assist client service on monthly, quarterly and annual compliance guideline due diligence requests
    • Assist Deputy CCO on all aspects of Charles River "over-ride" process
    • Inter-act with Epoch's trading desk and portfolio implementation team on all trading issues
    ACA/Code of Ethics Compliance:
    • New Employee onboarding, including training on system and reporting procedures/requirements and set up of brokerage accounts/holdings, 407Letters, etc.
    • Manage documents and various certifications on ACA/PTCC
    • Provide ongoing employee assistance with login, preclearance, broker migrations, new accounts, private placements
    • Manage live data feeds and add new feeds as they become available
    • Quarterly review of statements versus preclearances and reported trade activity
    • Review of firm trading activity via ACA Audit Report
    • Manage Gifts & Entertainment Reporting: certifications and provide employee support
    • Manage political contributions reporting
    • Distribute and review annual compliance questionnaire

    Coordinate & Prepare Filings:
    • Large Trader ID
    • 13G/F
    • Form PF - New requirement for Epoch Funds
    • Form D
    • Blue Sky Filings
    • Canada registrations
    • ADV Maintenance Filings
    • Ad-hoc Filings

    Audit Functions:
    • Prepare documents for internal/external audits
    • Assist in gathering documentation and information for internal/external audit
    • Maintain SEC exam prep binders
    • Compliance Program assessment projects
    • AML Review

    Corporate Paralegal:
    • Client Reporting- Board Packages, etc.
    • Ad Hoc Projects
    • Meeting Minutes
    • Binders
    • Pitch Books - Review Marketing Materials
    • Vendor Agreements


    ● Bachelor's degree required
    ● 6+ years of experience in audit, compliance and/or project management
    ● Relevant professional designations and/or certifications as required Advanced knowledge of compliance testing standards, systems, procedures, laws, rules, regulations, controls, communication channels and reporting requirements
    ● Advanced knowledge of risk management environment, standards, regulations and mitigation
    ● Ability to establish goals and objectives that support the strategic plan Ability to contribute to strategic direction of the compliance testing function and provide advice to senior leadership
    ● Skills in conflict resolution, strong intuitive judgment and negotiation/influencing skills, flexibility and adaptability to changing priorities
    ● Knowledge of current and emerging trends
    ● Skill in managing budgets and resource allocation
    ● Skill in mentoring, coaching and performance management Skill in using analytical software tools, data analysis methods, reporting techniques and reporting writing
    ● Skill in using computer applications including MS Office
    ● Ability to lead, plan, implement and evaluate program/project activities to ensure completion
    ● Ability to communicate effectively in both oral and written form
    ● Ability to work collaboratively and build relationships across teams and functions
    ● Ability to work successfully as a member of a team and independently
    ● Ability to exercise sound judgement in making decisions
    ● Ability to analyze, organize and prioritize work while meeting multiple deadlines
    ● Ability to handle confidential information with discretion


    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.