Compliance Advisory Executive Director at SMBC Nikko Securities managing Advisory Compliance for Securitized Products Group with a focus on regulatory and compliance matters.
About the role
- Senior Compliance Group Manager overseeing compliance functions at TD Bank. Collaborating with senior management to ensure adherence to regulatory compliance programs.
Responsibilities
- Oversee assigned compliance functions for the Company and support the development, implementation, and maintenance of a regulatory compliance program
- Manage compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company
- Interact with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations
- Manage assigned compliance managers and/or specialists by coordinating activities and providing coaching and counseling as needed
- Participate in annual risk assessment process for development of department monitoring plan and routine monitoring plan meetings
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of experience
- 5–7 years of compliance experience within a GSIB, large financial institution, or regulatory environment
- Strong understanding of FRB and OCC regulations and their application across diverse businesses and products
- Proven people leader with experience building, developing, and retaining high‑performing teams through effective performance management
- Demonstrated ability to foster a strong compliance risk culture and role‑model expected risk behaviors
- Experience setting operational direction, leading complex functions, and collaborating to execute common goals
- Ability to facilitate strategic discussions and provide clear, concise thought leadership to executive audiences
Benefits
- Health insurance
- Retirement plans
- Paid time off
- Career development
- Reward and recognition programs
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Japan Regulatory Specialist ensuring compliance for chemical products manufactured and imported into Japan. Managing inquiries and regulatory updates for chemical products sold in Japan.
Regulatory Affairs Assistant for VIDARA Group ensuring compliance with EU regulations. Involves administrative support, data management, and communication with suppliers and clients.
Analista de Segurança da Informação Pleno at Evertec, ensuring compliance with information security standards. Supporting ISO certifications and risk management in financial technology environment.
Compliance Specialist translating compliance and NIS2 requirements for energy trading applications. Supporting documentation standards and collaboration in a hybrid work environment.
Analista de Conformidade e Riscos na Sabesp, líder em saneamento, identificando e gerenciando riscos operacionais e regulatórios.
Compliance Filings Specialist handling federal and state compliance filings for PrePass. Responsible for accurate submissions and maintaining compliance records.
Regulatory Affairs Specialists at Arthrex responsible for managing regulatory approval for medical devices. Join a global medical device company focused on innovative education and development.
Regulatory Affairs Associate at Benjamin Moore responsible for data gathering and compliance with regulations. Evaluating products and raw materials for health and safety standards.
Compliance Lead for Electrification Systems’ Channel Partner portfolio in Asia, partnering with regional and business compliance leaders and teams to support compliance objectives.