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 www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US .
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 . Job Description The Compliance Manager manages assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. The Compliance Manager Interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The job employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Compliance Manager manages assigned specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. The Compliance Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations. Job Requirements •Manages the performance of independent compliance reviews that measure adherence to federal and state law regulatory requirements impacting business lines, as well as compliance reviews of compliance units (CUs) within Compliance Risk Management (CRM) to ensure compliance with CRM mandates and CRM/CU internal policies and procedures.
•Designs and ensures execution of risk-based compliance reviews and ensures work is performed in accordance with Compliance Process Certification methodology and consistent with Compliance Risk Management's objectives and standards.
•Serves as initial reviewer/approver of assigned business line self-monitoring work papers.
•Identifies and analyzes issues to determine root causes.
•Conducts regulatory research that may involve internal or outside counsel or third party assistance.
•Stays current on regulatory changes, and changes to CRM mandates and internal policies and procedures to understand impact and ensure compliance review procedures are updated as appropriate.
•Works closely with management of other areas within Compliance Risk Management as well as routinely interacts and maintains highly effective partnerships with line of business management and staff.
• Prepares reports of findings and presents to senior compliance and business line management, as well as heads of compliance units as applicable.
•Provides assistance, support and management of other projects as assigned.
•May serve as primary privacy compliance contact and coordinates the privacy compliance function for assigned line of business through the development and monitoring of compliance programs within the larger compliance framework developed.
•Manages vendor management process for any vendors utilized by assigned team.
•Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management.
•May lead a team of specialists.
•Oversees the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming.
•May manage the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations.
•Serves as final reviewer of RIMS and implementation documentation (except BLMs).
•Assists in the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger. Qualifications •Bachelor's degree or progressive work experience required in addition to experience below
•5-7 years related experience required
•Certified Information Privacy Professional(CIPP) preferred
•Broad working knowledge of laws and regulations related to areas of assignment
•Demonstrated ability to develop project plans and independently coordinate and complete projects
•Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
•Ability to influence others' actions and decisions without express authority
•Ability to analyze complex laws and regulations
•Proficiency in Microsoft Office other utility applications (e.g., Adobe Acrobat)
•Proficiency in Microsoft Excel and Access
•Advanced knowledge of database programming languages 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 her/his potential.
If you have a disability that requires an accommodation to complete the application process, please e-mail TD Bank's HR Compliance Department at email@example.com. Please include your full name, contact information and details about your request within the e-mail.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
**Province/State (Primary) New Jersey City (Primary) Mount Laurel
A little about us:
TD Bank is creating and sustaining a diverse and inclusive workplace that reflects the people, cultures and languages of the communities we serve.