TD BankPosted 1 week ago

Senior Compliance Business Oversight Manager - Consumer Banking

TD BankPosted 1 week ago

$115,440–$186,160 year

On-siteCharlotte, North Carolina, United States or New York, United States

Charlotte, North Carolina, United States or New York, United StatesOn-siteFull Time$115,440–$186,160 yearSenior LevelEnterprise

Full TimeSenior LevelEnterprise

Job Summary

Serve as primary compliance oversight for the Marketing line of business in Consumer Banking, providing independent challenge on business activities and initiatives with regulatory impact. Complete change risk assessments and questionnaires for new business launches, presenting findings to executives for approval. Coordinate with first and second line partners to manage compliance issues, track remediation activities, and validate testing results. Lead regulatory change management efforts for new state laws and monitor complaints and key risk indicators to identify trends and gaps. Review and validate first-line control mappings to ensure effective design aligned with regulatory requirements. Advise business partners through regular meetings and process reviews to support an effective compliance management system.

Required Qualifications

Undergraduate degree
10+ years of experience
Strong regulatory knowledge
Issue and change management expertise
Ability to partner with Compliance partners and business leaders
Ability to coordinate and support coverage across distribution channels and impacted products and services
Ability to identify risks, remediate gaps, and strengthen compliance controls
Ability to provide oversight and independent challenge on business activities and initiatives with regulatory impact
Ability to complete change risk assessments and related questionnaires for new business initiatives
Ability to perform review and challenge of inherent regulatory risks, mitigations and outlining conditions to launch
Ability to present to executives for approval
Ability to serve as a compliance advisor to business partners through regular meetings and process reviews
Ability to manage and track compliance-related issues
Ability to support timely resolution and regulatory alignment
Ability to lead regulatory change management efforts from a second line perspective
Ability to monitor regulatory complaints, business reports, and key risk indicators
Ability to review and validate first-line testing results
Ability to monitor any remediation activities for timely completion
Ability to support control mapping for effective design
Ability to collaborate with cross-functional teams to strengthen the compliance framework
Ability to reduce risk exposure
Ability to provide advice, support and objective guidance to assigned portfolio, business or function
Ability to govern the requirements for own work
Ability to integrate knowledge of the enterprise function's or business segment's overarching strategy
Ability to anticipate emerging business trends and regulatory/risk issues
Ability to recommend large-scale product, technical, functional or operations improvements
Ability to serve as a source of expert advice to senior management
Ability to advise on execution strategy
Ability to lead the development and deployment of functional programs or initiatives
Ability to solve unique and ambiguous problems with broad impact
Ability to oversee standards, controls and operating methods
Ability to impact the technical or functional direction and resource allocation
Ability to engage stakeholders to take action
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice
Ability to influence change
Ability to frame information in a broader organizational context
Ability to provide leadership guidance
Ability to make recommendations
Ability to collaborate with business to facilitate that solutions meet the business needs
Ability to identify and lead problem resolution for project/program complex requirements
Ability to oversee standards, controls and operating methods that have significant financial and operational impact
Ability to work within general policies and industry guidelines
Ability to engage stakeholders to take action
Ability to serve as a source of expert advice

Hiring someone like this?

Get your role in front of qualified candidates on Sorce.

Get started