2,036 Oversight Manager jobs in the United States

**Work Location:**
Mount Laurel, New Jersey, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $139,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**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.
**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. The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.**
**As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:**
+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws**
+ **Assist in regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries**
+ **Help mitigate risk and ensure the firm meets regulatory obligations**
+ **Assist in the development, implementation, and maintenance of the firm's compliance policies and procedures**
+ **Partner with operations, technology, and business teams to ensure regulatory compliance**
+ **Develop and prepare compliance reports on risks and trends**
+ **Serve as a compliance resource across the firm and represent the department on cross-functional meetings, initiatives, forums and committees**
+ **Identify departmental risks and contribute to strategic planning**
+ **Oversee business case initiatives and compliance-related technology requests**
+ **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**
+ **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions**
+ **Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm's compliance program**
+ **Provide backup support to other areas of the US Wealth Compliance team**
+ **Participate in other initiatives as needed**
**Job Summary:**
The **Compliance Administration Oversight & Reporting Manager** ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Preferred Background & Experience**
+ **Experience working in an integrated wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory requirements and securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers is preferred.**
+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements a plus.**
+ **Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards for effective compliance management systems.**
+ **Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements.**
+ **Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams.**
+ **Ability to independently identify, assess, and escalate issues requiring senior management attention.**
+ **Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130.**
+ **Demonstrated business writing abilities.**
+ **Experience writing policies, policy guidance, procedures, and training.**
+ **Experience responding to client complaints within a bank or broker-dealer.**
+ **Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank.**
+ **FINRA Series 7, 63 and 24 preferred.**
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
New York, New York, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $39,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job 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.
**Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately 30 billion of assets under management is looking to hire an experienced compliance professional to join its team. The individual will be responsible for assisting in many aspects of Epoch's compliance program including portfolio and personal trade compliance, marketing review, conducting regular compliance training as well as the preparation of all regulatory filings in the U.S. and in other jurisdictions where Epoch is registered. This individual will be responsible for the supervision of employees who are located outside of the U.S. but provide investment management support to Epoch as part of a participating affiliate arrangement. In addition, this person will be responsible for drafting procedures and controls to address new SEC rules that will impact Epoch and its affiliates. This person will also assist Epoch's CCO on several subsidiary governance related projects related to Epoch's U.S. and non-U.S. entities and will serve on several internal committees. This person will be a key member in several bank related projects that Epoch participates in as a subsidiary of the Toronto-Dominion Bank.**
**Job Summary:**
The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
Mount Laurel, New Jersey, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $139,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**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.
**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. The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.**
**As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:**
+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws**
+ **Assist in regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries**
+ **Help mitigate risk and ensure the firm meets regulatory obligations**
+ **Assist in the development, implementation, and maintenance of the firm's compliance policies and procedures**
+ **Partner with operations, technology, and business teams to ensure regulatory compliance**
+ **Develop and prepare compliance reports on risks and trends**
+ **Serve as a compliance resource across the firm and represent the department on cross-functional meetings, initiatives, forums and committees**
+ **Identify departmental risks and contribute to strategic planning**
+ **Oversee business case initiatives and compliance-related technology requests**
+ **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**
+ **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions**
+ **Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm's compliance program**
+ **Provide backup support to other areas of the US Wealth Compliance team**
+ **Participate in other initiatives as needed**
**Job Summary:**
The **Compliance Administration Oversight & Reporting Manager** ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Preferred Background & Experience**
+ **Experience working in an integrated wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory requirements and securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers is preferred.**
+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements a plus.**
+ **Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards for effective compliance management systems.**
+ **Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements.**
+ **Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams.**
+ **Ability to independently identify, assess, and escalate issues requiring senior management attention.**
+ **Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130.**
+ **Demonstrated business writing abilities.**
+ **Experience writing policies, policy guidance, procedures, and training.**
+ **Experience responding to client complaints within a bank or broker-dealer.**
+ **Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank.**
+ **FINRA Series 7, 63 and 24 preferred.**
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
New York, New York, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $39,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job 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.
**Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately 30 billion of assets under management is looking to hire an experienced compliance professional to join its team. The individual will be responsible for assisting in many aspects of Epoch's compliance program including portfolio and personal trade compliance, marketing review, conducting regular compliance training as well as the preparation of all regulatory filings in the U.S. and in other jurisdictions where Epoch is registered. This individual will be responsible for the supervision of employees who are located outside of the U.S. but provide investment management support to Epoch as part of a participating affiliate arrangement. In addition, this person will be responsible for drafting procedures and controls to address new SEC rules that will impact Epoch and its affiliates. This person will also assist Epoch's CCO on several subsidiary governance related projects related to Epoch's U.S. and non-U.S. entities and will serve on several internal committees. This person will be a key member in several bank related projects that Epoch participates in as a subsidiary of the Toronto-Dominion Bank.**
**Job Summary:**
The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
Mount Laurel, New Jersey, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $139,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**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.
**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. The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.**
**As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:**
+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws**
+ **Assist in regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries**
+ **Help mitigate risk and ensure the firm meets regulatory obligations**
+ **Assist in the development, implementation, and maintenance of the firm's compliance policies and procedures**
+ **Partner with operations, technology, and business teams to ensure regulatory compliance**
+ **Develop and prepare compliance reports on risks and trends**
+ **Serve as a compliance resource across the firm and represent the department on cross-functional meetings, initiatives, forums and committees**
+ **Identify departmental risks and contribute to strategic planning**
+ **Oversee business case initiatives and compliance-related technology requests**
+ **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**
+ **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions**
+ **Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm's compliance program**
+ **Provide backup support to other areas of the US Wealth Compliance team**
+ **Participate in other initiatives as needed**
**Job Summary:**
The **Compliance Administration Oversight & Reporting Manager** ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Preferred Background & Experience**
+ **Experience working in an integrated wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory requirements and securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers is preferred.**
+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements a plus.**
+ **Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards for effective compliance management systems.**
+ **Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements.**
+ **Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams.**
+ **Ability to independently identify, assess, and escalate issues requiring senior management attention.**
+ **Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130.**
+ **Demonstrated business writing abilities.**
+ **Experience writing policies, policy guidance, procedures, and training.**
+ **Experience responding to client complaints within a bank or broker-dealer.**
+ **Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank.**
+ **FINRA Series 7, 63 and 24 preferred.**
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
Mount Laurel, New Jersey, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $139,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job Description:**
**Department Overview:**
**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.
**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. The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking.**
**As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:**
+ **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws**
+ **Assist in regulatory requests and exams, and help manage responses to State, FINRA, and SEC inquiries**
+ **Help mitigate risk and ensure the firm meets regulatory obligations**
+ **Assist in the development, implementation, and maintenance of the firm's compliance policies and procedures**
+ **Partner with operations, technology, and business teams to ensure regulatory compliance**
+ **Develop and prepare compliance reports on risks and trends**
+ **Serve as a compliance resource across the firm and represent the department on cross-functional meetings, initiatives, forums and committees**
+ **Identify departmental risks and contribute to strategic planning**
+ **Oversee business case initiatives and compliance-related technology requests**
+ **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**
+ **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions**
+ **Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm's compliance program**
+ **Provide backup support to other areas of the US Wealth Compliance team**
+ **Participate in other initiatives as needed**
**Job Summary:**
The **Compliance Administration Oversight & Reporting Manager** ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Preferred Background & Experience**
+ **Experience working in an integrated wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory requirements and securities regulatory requirements for activities involving the recommendation or sale of non-deposit investment products (NDIP) to retail bank customers is preferred.**
+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements a plus.**
+ **Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations and standards for effective compliance management systems.**
+ **Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements.**
+ **Skill in using computer applications including MS Office Suite, including PowerPoint, Excel, OneDrive, Teams.**
+ **Ability to independently identify, assess, and escalate issues requiring senior management attention.**
+ **Experience conducting annual compliance assessments under 206-4(7) and FINRA 3130.**
+ **Demonstrated business writing abilities.**
+ **Experience writing policies, policy guidance, procedures, and training.**
+ **Experience responding to client complaints within a bank or broker-dealer.**
+ **Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank.**
+ **FINRA Series 7, 63 and 24 preferred.**
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

**Work Location:**
New York, New York, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $39,360 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
Compliance
**Job 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.
**Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately 30 billion of assets under management is looking to hire an experienced compliance professional to join its team. The individual will be responsible for assisting in many aspects of Epoch's compliance program including portfolio and personal trade compliance, marketing review, conducting regular compliance training as well as the preparation of all regulatory filings in the U.S. and in other jurisdictions where Epoch is registered. This individual will be responsible for the supervision of employees who are located outside of the U.S. but provide investment management support to Epoch as part of a participating affiliate arrangement. In addition, this person will be responsible for drafting procedures and controls to address new SEC rules that will impact Epoch and its affiliates. This person will also assist Epoch's CCO on several subsidiary governance related projects related to Epoch's U.S. and non-U.S. entities and will serve on several internal committees. This person will be a key member in several bank related projects that Epoch participates in as a subsidiary of the Toronto-Dominion Bank.**
**Job Summary:**
The Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.
**Depth & Scope:**
+ Works independently and is accountable for managing a specialized Compliance function or area
+ Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
+ Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
+ Provides guidance and support to analysts on matters related to portfolio and specialty
+ Typically a subject matter expert for a key functional Compliance area and business
+ Contact for business management, dealing with non-routine information
+ Manages/assists with regulatory reviews including inquiries, audits, and exams
+ Identifies and leads problem resolution for project/program complex requirements related issues at all levels
**Education & Experience:**
+ Undergraduate degree or equivalent work experience
+ 7+ years of experience
**Customer Accountabilities:**
+ Proactively advises the business of new and changed Compliance regulatory and/or policy changes
+ Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues
+ Contributes to the development and implementation of Compliance programs
+ Guides partner through the development, implementation, oversight and management of effective Compliance Programs
+ Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance
+ Represents Compliance on internal or external committees relating to designated business activities as required
+ Delivers relevant subject matter expertise and Compliance advice to business management
+ Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
+ Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis
+ Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate
**Shareholder Accountabilities:**
+ Actively assists in developing Compliance Team procedures
+ Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework
+ Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion
+ Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
+ May provide review and content in the development of annual awareness training
+ Manages the risk assessment process for assigned businesses
+ Protects the interests of the organization, our customers and our communities - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
+ Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
+ Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements
+ Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
+ Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
**Employee/Team Accountabilities:**
+ Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
+ Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business
+ Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
+ Participates in personal performance management and development activities, including cross training within own team
+ Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
+ Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
+ Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
+ Contributes to a fair, positive and equitable environment that supports a diverse workforce
+ Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
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.
#LI-AMCBCorporate
**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. Learn more ( 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.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

Operational Risk Fraud Oversight Manager II at City National Bank summary:

The Operational Risk Fraud Oversight Manager II oversees and enhances the operational risk management framework focusing on fraud within a major financial institution. This role involves reviewing and challenging risk controls, monitoring risk indicators, managing issue resolution, and advising business units to ensure compliance with risk appetite and regulatory standards. The position requires collaboration across departments, leadership in risk reporting, and continuous improvement of fraud risk management practices.

OPERATIONAL RISK FRAUD OVERSIGHT MANAGER II

WHAT IS THE OPPORTUNITY?

Operational Risk Management (ORM) is responsible for providing independent and objective oversight of the management of risks arising from City National Bank's business processes, people, systems or external events.

Working with the Enterprise Risk Manager for Fraud and Payment Systems, the Fraud Manager II will contribute to the ongoing review and monitoring of operational risk programs executed by assigned 1LOD business or corporate unit(s), including Risk and Control Assessments, Control Management Activities, Key Risk Indicators, Operational Risk Events, Issue Management, Scenario Analysis, Risk Appetite, Products and aggregating and reporting of operational risk information to the Management Risk Committee, Risk Committee of the Board and RBC.

The Fraud Manager II is responsible for providing advisory and oversight for Fraud within ORM, with a particular focus on strengthening operational risk management efforts to support decision-making. This position provides an excellent opportunity to strengthen the operational risk management framework, which includes risk identification and assessment; risk measurement; risk controls; and risk monitoring and reporting to improve operational resilience.

WHAT WILL YOU DO?

All responsibilities are related to Fraud:

• Work collaboratively with assigned business or corporate unit(s) to embed an understanding of the risk profile and risk appetite of the bank.
• Review and challenge operational risk practices against CNB operational risk framework and policies, including but not limited to 1LOD output of risk identification assessments and scenario analysis, Risk and Control Self Assessments (RCSA's), Key Risk Indicators (KRI's), material existing and emerging exposures, Operational Risk Events (ORE) reporting, and issue resolution.
• Understand material existing and emerging risks which align with assigned business or corporate unit(s) to ensure operation within risk appetite and fair representation of the operational risk profile
• Review, challenge and monitor 1LOD risk appetite and key indicators, and their performance to risk appetite levels
• Review and challenge whether 1LOD strategic priorities sufficiently consider the full spectrum of risks, and whether all risks have been adequately assessed across all strategic priorities
• Provide advisory, oversight, and challenge to 1LOD development and implementation of business processes, procedures, and controls to adhere to operational risk governance requirements
• Review and challenge 1LOD risk acceptances and new business initiatives
• Credibly challenge 1LOD risk monitoring and reporting and related protocols, in conjunction with risk type teams, including metric trigger explanations and associated action plans
• Review and challenge 1LOD annual testing and monitoring plans, the adequacy of control management activities and assessment results, and risk mitigation strategies to address gaps in control design or operating effectiveness
• Review and challenge regulatory remediation activities in assigned coverage areas to ensure operational risk exposures associated with known control deficiencies are addressed. This includes providing oversight and challenge throughout the Issue Management Lifecycle, which may include issue details; root cause analysis; action plan; material issue changes; management's completion of the required and/or committed corrective actions with supporting evidence; control management activities; and sustainability.
• Review and challenge self-identified issues and escalation in assigned coverage areas, including challenge of issue ratings, corrective action plans, due date extensions, and thematic issues in accordance with the CNB Issue Management Policy
• Influence and monitor progress of action plans to improve the risk and control environment arising from risk assessments, risk monitoring, internal and external events, and regulatory exams
• Exhibit high attention to details in identifying, aggregating, and communicating issues and control gaps to appropriate stakeholders
• Lead with the preparation of status reports, key metrics and other ORM reporting information as requested by management, the Risk Committee or RBC.
• Contribute to ad-hoc assignments/special projects
• Maintain awareness of current regulatory/industry trends impacting the Bank's operational risk management program or practices.
• Maintain familiarity of, and technical expertise with, business unit(s) organizational structure, personnel, activities and products, new product development, financial performance, and risk and problem areas
• Act as an internal advisor to business and corporate units regarding the ORM framework, policies and procedures.
• Support and facilitate audit and regulatory exam activities
• Build effective relationships, alliances, and strategic partnerships across CNB and RBC to help deliver results and to ensure opportunities are identified, analyzed, and managed appropriately. Understand interdependencies to achieve success.
• Build and grow risk talent through mentoring, coaching, and training

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications*

• Bachelor's Degree or equivalent
• Minimum 10 years of experience in the financial services industry
• Minimum 7 years of experience in risk management, operational risk management, compliance, or audit
• Minimum 5 years of control assessment and validation experience

Additional Qualifications

• Bachelor's degree or higher and other professional qualifications such as CPA, CIA, etc.
• Knowledge of OCC rules and regulations (i.e. heightened standards for Large Financial Institutions)
• Strong understanding of three lines of defense risk management structure and requirements
• Strong understanding of Risk Management/Operational Risk Management
• Strong knowledge of internal control management practices and testing methodology with proven experience in controls management design and/or execution
• Strong knowledge of issue management practices with proven experience in issue resolution
• Ability to handle complexity and ambiguity
• Ability to deal effectively with conflict
• Well-developed influencing skills
• Strong interpersonal, verbal, and written communication skills
• Demonstrated ability to think critically and facilitate change through collaborative effort.
• Self-motivation, discipline, task focus, the ability to structure and present work and a proven record of delivering high quality results within strict deadlines.
• Ability to multitask and prioritize several concurrent initiatives
• Ability to work in a matrix environment

WHAT'S IN IT FOR YOU?

Compensation

Starting base salary: $99,000 - $176,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

Benefits and Perks

At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:

• Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
• Generous 401(k) company matching contribution
• Career Development through Tuition Reimbursement and other internal upskilling and training resources
• Valued Time Away benefits including vacation, sick and volunteer time
• Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
• Career Mobility support from a dedicated recruitment team
• Colleague Resource Groups to support networking and community engagement

Get a more detailed look at our Benefits and Perks .

ABOUT US

Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us .

INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT

City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.

Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.

Keywords:

operational risk management, fraud oversight, risk and control assessments, issue management, key risk indicators, regulatory compliance, financial services risk, risk monitoring, internal controls, enterprise risk management

Operational Risk Fraud Oversight Manager II at City National Bank summary:

The Operational Risk Fraud Oversight Manager II oversees and enhances the operational risk management framework focusing on fraud within a major financial institution. This role involves reviewing and challenging risk controls, monitoring risk indicators, managing issue resolution, and advising business units to ensure compliance with risk appetite and regulatory standards. The position requires collaboration across departments, leadership in risk reporting, and continuous improvement of fraud risk management practices.

OPERATIONAL RISK FRAUD OVERSIGHT MANAGER II

WHAT IS THE OPPORTUNITY?

Operational Risk Management (ORM) is responsible for providing independent and objective oversight of the management of risks arising from City National Bank's business processes, people, systems or external events.

Working with the Enterprise Risk Manager for Fraud and Payment Systems, the Fraud Manager II will contribute to the ongoing review and monitoring of operational risk programs executed by assigned 1LOD business or corporate unit(s), including Risk and Control Assessments, Control Management Activities, Key Risk Indicators, Operational Risk Events, Issue Management, Scenario Analysis, Risk Appetite, Products and aggregating and reporting of operational risk information to the Management Risk Committee, Risk Committee of the Board and RBC.

The Fraud Manager II is responsible for providing advisory and oversight for Fraud within ORM, with a particular focus on strengthening operational risk management efforts to support decision-making. This position provides an excellent opportunity to strengthen the operational risk management framework, which includes risk identification and assessment; risk measurement; risk controls; and risk monitoring and reporting to improve operational resilience.

WHAT WILL YOU DO?

All responsibilities are related to Fraud:

• Work collaboratively with assigned business or corporate unit(s) to embed an understanding of the risk profile and risk appetite of the bank.
• Review and challenge operational risk practices against CNB operational risk framework and policies, including but not limited to 1LOD output of risk identification assessments and scenario analysis, Risk and Control Self Assessments (RCSA's), Key Risk Indicators (KRI's), material existing and emerging exposures, Operational Risk Events (ORE) reporting, and issue resolution.
• Understand material existing and emerging risks which align with assigned business or corporate unit(s) to ensure operation within risk appetite and fair representation of the operational risk profile
• Review, challenge and monitor 1LOD risk appetite and key indicators, and their performance to risk appetite levels
• Review and challenge whether 1LOD strategic priorities sufficiently consider the full spectrum of risks, and whether all risks have been adequately assessed across all strategic priorities
• Provide advisory, oversight, and challenge to 1LOD development and implementation of business processes, procedures, and controls to adhere to operational risk governance requirements
• Review and challenge 1LOD risk acceptances and new business initiatives
• Credibly challenge 1LOD risk monitoring and reporting and related protocols, in conjunction with risk type teams, including metric trigger explanations and associated action plans
• Review and challenge 1LOD annual testing and monitoring plans, the adequacy of control management activities and assessment results, and risk mitigation strategies to address gaps in control design or operating effectiveness
• Review and challenge regulatory remediation activities in assigned coverage areas to ensure operational risk exposures associated with known control deficiencies are addressed. This includes providing oversight and challenge throughout the Issue Management Lifecycle, which may include issue details; root cause analysis; action plan; material issue changes; management's completion of the required and/or committed corrective actions with supporting evidence; control management activities; and sustainability.
• Review and challenge self-identified issues and escalation in assigned coverage areas, including challenge of issue ratings, corrective action plans, due date extensions, and thematic issues in accordance with the CNB Issue Management Policy
• Influence and monitor progress of action plans to improve the risk and control environment arising from risk assessments, risk monitoring, internal and external events, and regulatory exams
• Exhibit high attention to details in identifying, aggregating, and communicating issues and control gaps to appropriate stakeholders
• Lead with the preparation of status reports, key metrics and other ORM reporting information as requested by management, the Risk Committee or RBC.
• Contribute to ad-hoc assignments/special projects
• Maintain awareness of current regulatory/industry trends impacting the Bank's operational risk management program or practices.
• Maintain familiarity of, and technical expertise with, business unit(s) organizational structure, personnel, activities and products, new product development, financial performance, and risk and problem areas
• Act as an internal advisor to business and corporate units regarding the ORM framework, policies and procedures.
• Support and facilitate audit and regulatory exam activities
• Build effective relationships, alliances, and strategic partnerships across CNB and RBC to help deliver results and to ensure opportunities are identified, analyzed, and managed appropriately. Understand interdependencies to achieve success.
• Build and grow risk talent through mentoring, coaching, and training

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications*

• Bachelor's Degree or equivalent
• Minimum 10 years of experience in the financial services industry
• Minimum 7 years of experience in risk management, operational risk management, compliance, or audit
• Minimum 5 years of control assessment and validation experience

Additional Qualifications

• Bachelor's degree or higher and other professional qualifications such as CPA, CIA, etc.
• Knowledge of OCC rules and regulations (i.e. heightened standards for Large Financial Institutions)
• Strong understanding of three lines of defense risk management structure and requirements
• Strong understanding of Risk Management/Operational Risk Management
• Strong knowledge of internal control management practices and testing methodology with proven experience in controls management design and/or execution
• Strong knowledge of issue management practices with proven experience in issue resolution
• Ability to handle complexity and ambiguity
• Ability to deal effectively with conflict
• Well-developed influencing skills
• Strong interpersonal, verbal, and written communication skills
• Demonstrated ability to think critically and facilitate change through collaborative effort.
• Self-motivation, discipline, task focus, the ability to structure and present work and a proven record of delivering high quality results within strict deadlines.
• Ability to multitask and prioritize several concurrent initiatives
• Ability to work in a matrix environment

WHAT'S IN IT FOR YOU?

Compensation

Starting base salary: $99,000 - $176,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

Benefits and Perks

At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:

• Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
• Generous 401(k) company matching contribution
• Career Development through Tuition Reimbursement and other internal upskilling and training resources
• Valued Time Away benefits including vacation, sick and volunteer time
• Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
• Career Mobility support from a dedicated recruitment team
• Colleague Resource Groups to support networking and community engagement

Get a more detailed look at our Benefits and Perks .

ABOUT US

Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us .

INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT

City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.

Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.

Keywords:

operational risk management, fraud oversight, risk and control assessments, issue management, key risk indicators, regulatory compliance, financial services risk, risk monitoring, internal controls, enterprise risk management