Senior Compliance Business Oversight Manager EPOCH (US)

About this role

Work Location: New York, New York, United States of America Hours: 40 Pay Details: $124,280 - $186,160 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

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:

Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

The Ideal Candidate

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

Core Required Capabilities

• Institutional RIA regulatory expertise. Demonstrates deep working knowledge of the Investment Advisers Act of 1940, SEC Rule 206(4)-7 compliance program expectations, fiduciary obligations, Form ADV requirements, books and records, code of ethics, personal trading, marketing, custody, valuation, proxy voting, best execution, and conflicts management as applied to an institutional asset management business.

• Independent compliance oversight and credible challenge. Provides objective guidance and independent challenge to business leaders, portfolio management, trading, operations, client service, technology, risk, and legal partners. Identifies when business practices, controls, disclosures, or governance require enhancement and can support conclusions with sound regulatory analysis.

• CCO delegate mindset with clear escalation discipline. Operates with a high degree of independence and can make well-reasoned compliance decisions within delegated authority, while keeping the CCO informed of material developments, emerging risks, regulatory matters, significant control gaps, and decisions that may require executive judgment.

• Compliance program ownership. Owns or materially leads key elements of the RIA compliance program, including policies and procedures, annual review support, monitoring and testing coordination, regulatory change impact assessment, issue identification and remediation oversight, training, reporting, and governance materials.

• Institutional investment adviser business fluency. Understands institutional asset management products, strategies, client types, investment guidelines, discretionary portfolio management, trade lifecycle, model and portfolio implementation processes, vendor and affiliate dependencies, and operational risks that may affect regulatory compliance.

• Risk assessment and control effectiveness judgment. Can assess inherent and residual compliance risk, evaluate the design and operating effectiveness of controls, identify root causes, distinguish isolated exceptions from systemic issues, and recommend practical, risk-based remediation actions.

• Regulatory exam and inquiry management. Has the judgment and organizational discipline to support or lead SEC examinations, regulatory inquiries, audit reviews, document productions, management responses, remediation plans, and regulator-facing narratives in a manner that is accurate, complete, well-controlled, and appropriately escalated.

• Enterprise risk and bank-owned RIA awareness. Understands the heightened governance, reporting, affiliate, and reputational considerations that arise when an investment adviser operates within a bank-owned environment, including coordination across enterprise compliance, operational risk, legal, audit, technology, and business governance forums.

• Governance, reporting, and executive communication. Produces clear, concise, and decision-useful reporting for the CCO, senior management, committees, boards, and control partners. Can translate complex regulatory issues into key risks, impacts, decisions needed, ownership, target dates, and evidence of remediation.

• Strategic execution and prioritization. Independently prioritizes competing regulatory, business, exam, and remediation demands. Develops practical roadmaps, sequences work based on risk, and delivers high-quality results under time-s

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