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Senior Compliance Specialist Wealth Private Client Group

Expired Job

TD Bank Group Greenville , SC 29617

Posted 4 months ago

Company Overview

About TD Bank, America's Most Convenient Bank

TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit Find TD Bank on Facebook at and on Twitter at

TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit

Job Description

The Senior Compliance Specialist supports compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across the U.S. Wealth lines of business, offices, and operating departments. The Senior Compliance Specialist provides regulatory and compliance advisory support to TD Wealth Private Client Group (includes Private Banking, Investments & Trust, TD Private Client Wealth and Mass Affluent business lines) senior leadership team, client-facing and middle- and back-office support teams, and TD Bank Retail support teams.


  • Researches very complex regulatory issues that may involve internal or outside counsel. Communicates findings to senior management or business lines.

  • Supports the business line in managing and oversight of third-party vendor relationships.

  • Supports Compliance Team and business line in the U.S. Wealth customer complaint handling process.

  • Reviews and updates Compliance policies and procedures, and reviews and recommends changes to business line policies and procedures.

  • Reviews advertisements, sales materials and training materials through the CAP system for adherence to applicable insurance and banking requirements, as well as TD guidelines and standards.

  • Assists with reporting and presentation development for U.S. and Global Compliance, enterprise boards and committees, and ad hoc requests.

  • Provides day to day interaction and support to Management.

  • Oversees/executes and/or performs tasks from beginning to end.

  • Focuses on short to mid term issues (e.g. monthly-quarterly).

  • Identifies issues, through evaluation of policies, practices, and industry guidance in order to develop and evaluate proposed resolutions and their impact on business processes and resources.

  • Interacts and communicates with staff and senior management of the Bank and requires minimal supervision of work product.

  • Conducts and leads monitoring efforts, documents findings, presents findings to appropriate levels of management, and serves as reviewer of written reports within assigned teams.

  • Supports the evaluation of the effectiveness of compliance programs, providing knowledgeable advice and counsel for business lines or assigned areas.

  • Reviews monitoring and exam results to provide guidance and best practices to mitigate compliance risk and make recommendations for corrective action.

  • Assists the business line in response to periodic examinations by regulatory agencies. Supports compliance management in direction and monitoring of follow up efforts to correct any deficiencies discovered in a regulatory examination or internal audit.

  • Represents compliance team at various meetings as directed.

  • Compiles compliance analyses and recommendations for presentation and review by compliance management. Explains findings and recommendations to management to secure approval for changes.

Must be eligible for employment under regulatory standards applicable to the position.


  • Bachelor's degree or progressive work experience in addition to experience below

  • Preferred FINRA Series 7 securities registration and/or resident state insurance license (life and health lines of authority); or can obtain within 6 9 months

  • 5-7 Years of related experience preferably with a focus on securities, investment advisory and insurance regulatory requirements and bank regulatory requirements for activities involving the recommendation or sale of non-deposit investment products to retail bank customers

  • In depth knowledge of applicable laws and regulations, research skills and presentation skills

  • Strong organizational and time management skills to establish priorities, manage multiple tasks and deliverables with the goal of staying ahead of deadlines

  • Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture

  • Ability to analyze the most complex laws and regulations and relate those laws to operational procedures, company policies, and industry trends

  • Ability to work with all levels of management with a positive solutions-based approach.

  • Highly motivated with a team player and collaborative approach to work. Build and maintain key relationships, promoting a culture of engagement and connectivity.

  • Versatility, flexibility, and a willingness to work within changing priorities with enthusiasm.

  • Proficiency in Microsoft Office software programs.


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the 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 application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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Senior Compliance Specialist Wealth Private Client Group

Expired Job

TD Bank Group