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418610BRJob Title:Compliance Business Oversight Manager (US)Company Overview: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 over 9.8 million customers with a full range of retail, small business and commercial banking products and services at more than 1,100 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Auto Finance, a division of TD Bank, N.A., offers vehicle financing and dealer commercial services. TD Bank and its subsidiaries also offer customized private banking and wealth management services through TD Wealth®. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.td.com/us . Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBankUS and www.twitter.com/TDNewsUS .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 www.td.com .We offer a competitive salary and benefit program, including: comprehensive, affordable health care through medical, dental, and vision coverage; financial security with life and disability insurance; opportunities to save using health savings and flexible spending accounts; retirement benefits to help prepare for the future; paid time off and work/life benefits to maintain a good balance.Auto req ID:418610BRDepartment Overview:The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function ondevelopment and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy andstrategic direction.Overall responsibility for the Affiliate Transaction Governance program for the Bank. Responsibilities include:
Verify Data Review Program controls are in place, that Program components are captured, maintained, and adhere to Regulation W / Federal Reserve Act, and that the Key Stakeholder Group is functioning as designed.
Conduct detailed data reviews and supervise the reviews done by junior colleagues
Prepare and deliver reporting to executive management, including the Affiliate Transaction Oversight Committee, Operational Risk Management Committee, the Joint Session of the TDBUSH and TDGUS Board Risk Committee, Enterprise Risk Management Committee, and Audit Committee.
Facilitate Internal Audit and External Regulator (OCC/FRB) examinations and provide ongoing supervision of the Affiliate Transaction Governance Program.
Conduct annual Risk and Control Assessments to verify compliance with Regulation W and the Federal Reserve Act and effectiveness of controls related to Affiliate Transactions.
Challenge existing processes to increase efficiency and effectiveness of reviews and reporting. Provide recommendations on enhancements to operational processes that support the governance process and compliance with Regulation W. Confirm successful implementation of enhanced processes.
Perform annual review and maintenance of the Affiliate Transaction Governance Program procedures and Affiliate Transaction Policy and Standards to ensure continued compliance and effectiveness.
Develop and manage the Education and Awareness program for the Affiliate Transactions Governance Model, including overseeing annual training on the LMS system, conducting the annual Webinar, and developing and delivering ad-hoc training for Business Lines across the bank.
Country:United StatesJob Requirements: Undergraduate degree required 7+ years relevant experience Relevant professional designations and/or certifications as requiredAdvanced knowledge of a variety of products and services, systems, and compliance advisory standards, procedures, laws, rules and regulations Knowledge of risk management environment, standards and regulations Knowledge of current and emerging trends Ability to lead, plan, implement and evaluate program/project activities to ensure completion of initiatives Ability to contribute to strategic direction of the Compliance advisory function and provide advice to senior leadership Skill in mentoring and coaching Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques Skill in using computer applications including MS Office 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
Must be eligible for employment under regulatory standards applicable to the position.
Hours:40Job Details:
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
Contact for business management, dealing with non-routine information
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
Inclusiveness: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 USWAPTDO@td.com . 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.State:Maine, New Jersey, South CarolinaCity:Falmouth, Greenville, Mount LaurelWork Location:70 Gray Road West Falmouth CrossingBusiness Line:TD Bank AMCBJob Category - Primary:Anti-Money Laundering / Compliance & Regulatory RelationsJob Category(s):Anti-Money Laundering / Compliance & Regulatory RelationsState (Primary):MaineState #2:New JerseyState #3:South CarolinaCity (Primary):FalmouthCity #2:Mount LaurelCity #3:GreenvilleTime Type:Full TimeEmployment Type:RegularHours/Availability Detail:40Pay Range:$83,720 - $136,240 annuallyFederal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
