Charlotte, North Carolina, United States of America
$91,000 - $145,600 usd; not specified; not specifi...
Investment company act of 1940
Finra and sec rules
Regulatory obligations
TD Bank US Compliance is building a more resilient and scalable compliance risk management function, driving innovation and creating a culture of compliance
Job Summary
TD Bank US Compliance is building a more resilient and scalable compliance risk management function, driving innovation and creating a culture of compliance.
The Compliance Business Oversight Manager will ensure ongoing compliance with various securities laws, assist with regulatory requests, and help mitigate risk.
This role offers the opportunity to manage day-to-day operations while helping design and implement a forward-thinking compliance program for the future.
Matching Summary
TD Bank US Compliance is building a more resilient and scalable compliance risk management function, driving innovation and creating a culture of compliance.
Salary
$91,000 - $145,600 USD; Not specified; Not specified
Skills & Requirements
Must-have
Investment Company Act of 1940
FINRA and SEC rules
regulatory obligations
compliance policies and procedures
risk assessments
compliance reports
Nice-to-have
fast-paced, start-up-like setting
entrepreneurial mindset
comfort level with ambiguity
intellectual challenge
desire to learn
Key Requirements
7+ years of experience
Undergraduate degree or equivalent work experience