Wealth Compliance Program Admin and Reporting

Job description

Description

Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function.

As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level.

Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program.

This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

The Ideal Candidate:

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile.

In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach.

You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can roll up their sleeves, takes the initiative and can anticipate needs before they arise.

A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up.

At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

management areas, broader organization, and enterprise as appropriate.

Department Overview:

U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as described in the U.S. Compliance Operating Framework (COF) including.

U.S. Wealth is a fully integrated wealth management business that provides products and services (designed for High-Net-Worth, Institutional and Mass Affluent clients of TD Bank, N.A. encompassing banking, custom credit, asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank N.A., TD Private Client Wealth LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes.

The Financial Advisors, Relationship Managers, and Investment Advisors who are part of the client-facing Distribution teams are both securities-registered and insurance-licensed.

Additionally, the Trust Advisors support both personal and corporate trust as well as the Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.

In this position, the Analyst will support the regulatory change management process, regulatory compliance policies, procedures, training development and corporate compliance programs.

Supports the business in identifying, assessing, and implementing regulatory change.

Supports business line regulatory change implementations, including overseeing business changes to policies, procedures, systems, and/or controls via action plans or projects.

Supports the Wealth Compliance team and the US Wealth business in the implementation and execution of enterprise Compliance and Risk Management programs (i.e., risk assessments, 2nd line review and challenge of business monitoring and testing programs, new business initiatives), including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.

The position requires a compliance knowledge with applicable laws and regulations, an ability to work both individually and as a team, strong analytical skills, and attention to detail.

The position supports a sustainable U.S. Wealth Compliance function that effectively manages and oversees regulatory compliance risk and conduct risk in U.S. Wealth businesses by: 

Job Summary:

The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice to assigned portfolio, business or function to promote strong Compliance controls and processes are in effect to mitigate inherent associated risks.

This role contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws.

Depth & Scope:

Education & Experience:

Preferred Background & Experience

Customer Accountabilities:

Shareholder Accountabilities:

Employee/Team Accountabilities:

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.

They are not intended to be an exhaustive list of all responsibilities, duties and skills required.

The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores.

Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world.

More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals.

As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.

Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Additional Information:
We’re delighted that you’re considering building a career with TD.

Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed.

You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview.

We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.

Required Skill Profession

Business Operations Specialists