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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive expertise in Compliance Program development and implementation, with a strong focus on regulatory requirements and risk management. Proven ability to lead teams, conduct data analysis, and communicate effectively with senior management and stakeholders.
Highest-signal resume keywords
Compliance Program DevelopmentRegulatory Requirements KnowledgeTeam Leadership in US Wealth ComplianceFINRA Series 7, 63 and 24Data Analysis and Interpretation
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Program DesignRegulatory Risk AssessmentPolicy WritingData AnalysisAdvanced ModelingBusiness WritingCompliance DocumentationRegulatory ResearchIssue IdentificationAdvertising Guidance
Soft Skills
MentoringInterpersonal CommunicationProblem ResolutionRelationship ManagementTeam Development
Tools & Technologies
MS Office Suite
Certifications & Qualifications
FINRA Series 7FINRA Series 63FINRA Series 24
Industry Keywords
Wealth ComplianceSecurities Investment ManagementFiduciary ActivitiesState Insurance Regulatory RequirementsSecurities Regulatory RequirementsEnterprise Governance FrameworksCompliance Management SystemsEmerging Regulatory TrendsAudit and Legal EnvironmentsNon-Deposit Investment Products
About the role
Key responsibilities & impact- Provide advice, support and objective guidance to assigned portfolios, businesses or functions on Compliance/Center of Excellence programs
- Design, develop, implement and deploy compliance programs, policies, operating standards and initiatives
- Advise executives, business segment leaders, senior management and business partners
- Anticipate regulatory and risk issues and recommend large-scale improvements
- Lead problem resolution for complex project and program requirements
- Advise the business on new and changed compliance regulatory or policy requirements
- Formulate data analysis using advanced modeling and analytics; interpret complex business issues and generate insights
- Guide partners through development, implementation, oversight and management of effective Compliance Programs
- Prepare summaries, presentations, briefing notes and other compliance status documentation
- Represent Compliance on internal or external committees
- Conduct functional and enterprise-level analysis; assess program, policy and practice effectiveness
- Manage high-risk initiatives and escalations
- Assist with business-line policies and Compliance Team procedures
- Conduct enterprise-wide annual risk assessments for all TD businesses
- Research regulatory issues and support presentations and communications to management
- Maintain relationships across business lines and control functions
- Monitor emerging issues, trends and regulatory requirements
- Mentor others, transfer knowledge and contribute to team development
Requirements
What you’ll need- Undergraduate degree or equivalent work experience
- 10+ years of experience
- Prior success in building and developing a team within US Wealth Compliance
- Experience working in an integrated wealth business, including securities investment management and fiduciary activities
- Knowledge of state insurance regulatory requirements and securities regulatory requirements for non-deposit investment products
- FINRA Series 7, 63 and 24
- Knowledge and experience within compliance or audit, legal and regulatory environments, enterprise governance frameworks, products and services, policies, standards, systems, reporting and training requirements
- Knowledge of current and emerging regulatory trends and standards for effective compliance management systems
- Ability to research, interpret and summarize 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
- Demonstrated business writing abilities
- Experience writing policies, policy guidance, procedures and training
- Experience reviewing and providing guidance on advertising and marketing materials for a broker-dealer/bank
- Ability to perform sedentary work and operate standard office equipment continuously
- Occasional domestic travel; no international travel
Benefits
Comp & perks- Variable compensation/incentive awards, including potential cash and/or equity incentive awards
- 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
- Reward and recognition
- Regular career, development, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Accommodation support for applicants with disabilities