Compliance Audit & Exam Specialist Position Available In Cumberland, Maine

Compliance Audit & Exam Specialist at TD Bank in

Portland, Maine, United States Job Description Work Location:

Mount Laurel, New Jersey, United States of America Hours:

40

Pay Details:

$68,640 – $112,320 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:

Department Overview:

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. U.S. Compliance Operations and Governance provides governance, oversight, and support for central elements of the U.S. Compliance Risk Management Program, including: + Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activities + Centralized policy and reports inventories + Internal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation oversight + Strategic, financial planning, business and operations support for the U.S. Compliance Department, the U.S. CCO and the Compliance Executive Team The Audit and Exam Management team of U.S. Compliance Operations and Governance manages internal audits and regulatory exams of the Compliance function, tracks remediation efforts and assists in remediation of Compliance-owned findings, coordinates ad hoc responses to regulatory agencies and Internal Audit, and prepares periodic reporting to multiple stakeholders. Teammates interact directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness. In this position, the Compliance Audit & Exam Specialist will assist the team in day-to-day communications with stakeholders, gathering and documenting responses and status updates, planning ongoing meetings and exam deep dives and walkthroughs, and assisting in U.S. and Global Compliance projects as necessary. Please review the preferred background & experience section below The above details are specific to the role which is outlined in the general description below.

Job Description :

The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process support within a defined area of the function. Supports implementation activities related to initiatives including the development of and maintaining enterprise Compliance programs. This role may interact with key stakeholders and third-party service providers to deliver Compliance programs that satisfy regulatory requirements.

Depth & Scope:

+ Expected to exercise sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory risk matters. + Empowered to make prudent professional decisions in rendering advice and counsel to business lines or assigned areas on compliance matters and regulatory risks which may impact performance of the business and overall enterprise strategies and objectives. + Provides responses to regulatory agencies and Internal Audit. Interacts directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness. + Acts as the primary subject matter expert for certain Compliance Program elements and is expected to make decisions regarding compliance with these Program requirements and to escalate instances of non-compliance. + Works independently as the senior analyst/subject matter expert and may coach and educate others + Oversees and/or independently performs tasks from end to end + Applies expert knowledge of business operations, products, services, methods and operating standards to drive unit or team performance and provides training to other team members based on expert knowledge + Executes on more complex and/or non-standard requests + Researches and investigates a range of operational/reporting/process issues and provides recommendations to senior management across the enterprise (including Global partners) + Recommends and implements solutions within own area of responsibility that impact the strategies and objectives of the Department + Coordinates/integrates work with other areas as needed + Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise + Requires advanced technical/business/function knowledge for discipline supported + High level of complexity in operational/reporting/process and/or analysis function requiring medium to longer term focus + Represents the group as the lead or subject matter expert on projects/initiatives and/or at meetings across the organization

Education & Experience:

+ Undergraduate degree or equivalent work experience + 5+ years of experience

Preferred Background & Experience:

+ Banking Industry experience within c ompliance or audit, legal and regulatory environment , enterprise governance framework , products and services, policies, standards, systems, reporting and training requirements + Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems + Knowledge and experience with risk management environment, standards, and regulations + Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements + •Skil