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Compliance Administration Oversight & Reporting Manager at TD Bank - ApplyBlast

Compliance Administration Oversight & Reporting Manager

TD Bank

3 months ago

Fort Lauderdale, Florida

Onsite

Full Time

Senior

0 applicants

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About this role

The Compliance Administration Oversight & Reporting Manager ensures regulatory adherence and risk management within TD Bank's US Wealth division. This role oversees compliance monitoring, reporting, and governance processes while collaborating with cross-functional teams to enhance transparency and decision-making. The position involves leading issue management activities, developing executive-level reporting, and assisting in the implementation of compliance policies and frameworks.

Responsibilities

Lead issue management and governance activities for US Wealth Compliance
Develop and deliver executive-level reporting and metrics to senior leadership
Assist in developing and maintaining compliance policies and governance frameworks
Partner with operations and technology teams to identify and resolve control gaps
Manage regulatory reviews including inquiries, audits, and exams

Skills

Qualifications

BS in related fieldFINRA Series 7FINRA Series 63FINRA Series 24

About TD Bank

td.com

Headquarters

Toronto, Ontario, Canada

Company Size

10001+ employees

Founded

2007

View Profile

TD Bank is a U.S.-based retail and commercial bank offering a wide range of personal and business financial products, including checking and savings accounts, credit cards, personal loans, mortgages, and home equity options. The bank provides online and mobile banking services as well as in-store appointments with banking specialists. TD Bank is FDIC-insured and operates as the U.S. subsidiary of Toronto-Dominion Bank (TD Bank Group).