TD Bank
Senior Compliance Business Oversight Manager - US Wealth
$124K–$186K
New York, New York +5 · Office Focused · Manager · Full-time · Posted Oct 27, 2026
- Location
- New York, New York
5900 North Andrews Avenue, Fort Lauderdale, Florida
13024 Ballantyne Corporate Place, Charlotte, North Carolina
2211 Congress Street, Portland, Maine
Mt Laurel - Operations Center Bldg 1 - 9000 Atrium Way, Mount Laurel, New Jersey
Greenville Campus Building A - 200 Carolina Point Parkway, Greenville, South Carolina - Experience
- 10+ years of experience.
- Education
- Undergraduate degree or equivalent work experience.
About the job
Provides expert compliance advice and oversight for TD’s U.S. Wealth business, guiding compliance program design, implementation, risk assessment, reporting, and remediation.
What you'll do
- Advise business leaders on regulatory and policy changes, compliance risks, and program effectiveness.
- Guide the development, implementation, and oversight of compliance programs, policies, procedures, and training.
- Lead risk assessments, high-risk initiatives, escalations, and compliance reporting; advise senior management and represent Compliance on committees.
What they ask for
- Undergraduate degree or equivalent work experience.
- 10+ years of experience.
Nice to have
- Prior success building and developing a team within US Wealth Compliance.
- Integrated wealth-business experience, especially in securities investment management, fiduciary activities, insurance regulation, or securities requirements; FINRA Series 7, 63 and 24 are also preferred.
Pay
$124,280 - $186,160 USD (base salary)
Tools
MS Office Suite
Model-written summary · the original posting is authoritative