Senior Compliance Business Oversight Analyst. TD Private Client Wealth

Compliance Business Oversight Analyst

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 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.

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.

As a member of the US Wealth Compliance Department, the Compliance Business Oversight Analyst duties include :

• Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws.
• Help mitigate risk and ensure the firm meets regulatory obligations.
• Handle the onboarding and offboarding of new hires.
• Provide training to the field on various regulatory topics, including onboarding new hire training.
• Delivers relevant subject matter expertise and Compliance advice to business management.
• Assist senior compliance managers with regulatory engagements, including on-site exam coordination, document production and maintenance and reporting of related management information.
• Understand and manage licensing & registrations systems (i.e., FINRA Gateway), background and fingerprint screening processes, and their downstream impact.
• Assist business in obtaining study materials and manage and report on examination windows.
• Prepare and submit required regulatory forms for registering or terminating personnel in accordance with FINRA, SEC, and State laws, rules and requirements.
• Escalate and help respond to internal inquiries and resolve registration issues with regulators, including state agencies.
• Keep and maintain supervisory org structure.
• Review and escalate employee OBA, personal account, and political contribution submissions via internal compliance systems as necessary.
• Assist with maintenance and implementation of the Firm's policies & procedures related to broker dealer policies, training materials, and certifications.
• Various on-going initiatives and ad-hoc projects, as needed.

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 :