Manager, Compliance Testing - Epoch (Us)

Work Location:

New York, New York

Hours:

40

Pay Details:

$110,760 - $178,880 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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:

The Manager, Compliance Testing leads and develops team(s) responsible for planning and overseeing independent Compliance testing. This role is responsible for leading all phases of the assigned testing engagement. Provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for their team.

Depth & Scope:

• Typically a subject matter expert for a functional area

• Key contact for business management and dealing with non-routine information

• Focuses is on short to mid-term planning (6 -12 months)

• Deep knowledge and understanding of businesses and organizational practices/disciplines

• Sets operational team direction and collaborates with others to execute on common goals

• Oversees management of team requiring workforce to decision on acceptable level of risk

• Moderate to High risk potential (loss/reputational) for functional area

• Knowledge and experience in the below Compliance areas preferred Charles River Portfolio Compliance

• New client on-boarding of client restrictions/ guidelines for institutional and sub-advisory clients

• Testing of all client guidelines prior to investment account going live

• Assists client service on monthly, quarterly and annual compliance guideline due diligence requests

• Assists Deputy CCO on all aspects of Charles River "over-ride" process

• Interacts with Epoch's trading desk and portfolio implementation team on all trading issues ACA/Code of Ethics Compliance:

• New Employee onboarding, including training on system and reporting procedures/requirements and set up of brokerage accounts/holdings, 407Letters, etc.

• Manages documents and various certifications on ACA/PTCC

• Provides ongoing employee assistance with login, preclearance, broker migrations, new accounts, private placements

• Manages live data feeds and add new feeds as they become available

• Quarterly review of statements versus preclearances and reported trade activity

• Reviews of firm trading activity via ACA Audit Report

• Manages Gifts & Entertainment Reporting: certifications and provide employee support

• Manages political contributions reporting

• Distributes and review annual compliance questionnaire

Coordinate & Prepare Filings:

• Large Trader ID
• 13G/F
• Form PF

• New requirement for Epoch Funds

• Form D

• Blue Sky Filings

• Canada registrations

• ADV Maintenance Filings

• Ad-hoc Filings

Audit Functions:

• Prepare documents for internal/external audits

• Assist in gathering documentation and information for internal/external audit

• Maintain SEC exam prep binders

• Compliance Program assessment projects

• AML Review

Legal:

Corporate Paralegal:

• Client Reporting- Board Packages, etc.

• Ad Hoc Projects

• Meeting Minutes

• Binders

• Pitch Books

• Review Marketing Materials

• Vendor Agreement

Education & Experience:

• Bachelor's degree required

• 6+ years of experience in audit, compliance and/or project management

• 7+ years overall experience is needed

• Relevant professional designations and/or certifications as required

• Advanced knowledge of compliance testing standards, systems, procedures, laws, rules, regulations, controls, communication channels and reporting requirements

• Advanced knowledge of risk management environment, standards, regulations and mitigation

• Ability to establish goals and objectives that support the strategic plan

• Ability to contribute to strategic direction of the compliance testing function and provide advice to senior leadership

• Skills in conflict resolution, strong intuitive judgment and negotiation/influencing skills, flexibility and adaptability to changing priorities

• Knowledge of current and emerging trends

• Skill in managing budgets and resource allocation

• Skill in mentoring, coaching and performance management

• Skill in using analytical software tools, data analysis methods, reporting techniques and reporting writing

• Skill in using computer applications including MS Office

• Ability to lead, plan, implement and evaluate program/project activities to ensure completion

• Ability to communicate effectively in both oral and written form

• Ability to work collaboratively and build relationships across teams and functions

• Ability to work successfully as a member of a team and independently

• Ability to exercise sound judgement in making decisions

• Ability to analyze, organize and prioritize work while meeting multiple deadlines

• Ability to handle confidential information with discretion

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.

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

Additional 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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.