Senior Manager, Compliance Testing - Wealth Compliance

TD Bank

Mount Laurel, New Jersey, United States of America
Base: $115,440 - $186,160 usd; bonus/equity: not s...
On-site
Compliance risk management
Regulatory requirements
Independent compliance testing
TD Bank is seeking a Senior Manager for Compliance Testing in Mount Laurel, NJ, to lead a team in overseeing compliance testing activities and driving innovation in compliance risk management. The ideal candidate should have over 10 years of experience in compliance, particularly in regulatory requirements related to finance and securities

Job Summary

  • The Senior Manager, Compliance Testing oversees and develops team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements.
  • This role provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group.
  • TD Bank is committed to providing fair and equitable compensation opportunities to all colleagues, with growth opportunities and skill development as defining features of the colleague experience.

Matching Summary

Match Score: 85

TD Bank is seeking a Senior Manager for Compliance Testing in Mount Laurel, NJ, to lead a team in overseeing compliance testing activities and driving innovation in compliance risk management. The ideal candidate should have over 10 years of experience in compliance, particularly in regulatory requirements related to finance and securities.

Salary

Base: $115,440 - $186,160 USD; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Compliance risk management
  • Regulatory requirements
  • Independent Compliance testing
  • Team leadership and development
  • SEC, FINRA, MSRB regulations

Nice-to-have

  • Resilient and scalable compliance function
  • Innovation at every level
  • Culture of compliance
  • Strategic advisor on compliance issues

Key Requirements

  • 10+ years of experience
  • Undergraduate degree or equivalent work experience
  • Experience with state insurance regulatory requirements

Work Rights

Not specified

Tailored Resume

Cover Letter