Compliance Business Oversight Manager - Fiduciary and Trust

Position: Compliance Business Oversight Manager - Fiduciary and Trust (US)
* ** Assessing regulatory compliance risk and conduct risk within the U.S. Wealth businesses.**
* ** Independently testing, monitoring and assessing the adequacy of adherence to and effectiveness of Compliance Management System (CMS) programs and controls in the business units throughout U.S. Wealth businesses;**
* ** Delivering independent challenge and objective guidance to business units.**
* ** Proactively managing regulatory change.**
* ** Establishing and maintaining, or providing oversight of and challenge to policies, procedures and controls designed to meet regulatory requirements and manage regulatory compliance risk and conduct risk.
*** 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
* ** Undergraduate degree or equivalent work experience**
* ** 7+ years of 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.**
* ** Relevant certifications preferred such as Certified Fiduciary & Investment Risk Specialist (CFIRS) or Certified Trust and Fiduciary Advisor (CTFA).**
* ** Familiarity with Office of the Comptroller of Currency (OCC) governance including fiduciary and investment handbooks.**
* ** 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 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**
* ** Ability to independently identify, assess, and escalate issues requiring senior management attention.
*** 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
* Actively assists in…