Testing Analyst evaluating client compliance programs under federal securities laws at ACA Group. Involves regulatory issue analysis and communication of findings and recommendations.
About the role
- Compliance Business Oversight Manager ensuring regulatory adherence and risk management within US wealth management for TD Bank. Collaborating with teams to enhance compliance structures and practices.
Responsibilities
- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities laws
- Assist in regulatory requests and exams, and manage responses to State, FINRA, and SEC inquiries
- Partner with operations, technology, and business teams to ensure regulatory compliance
- Conduct periodic compliance testing, surveillance, and risk assessments
Requirements
- Undergraduate degree or equivalent work experience
- 7+ years of experience
- Experience working in an integrated wealth business as a bank subsidiary
- Knowledge of current and emerging trends, including broker-dealer and RIA regulatory expectations
- Skill in using computer applications including MS Office Suite
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Remote work options
- Career development opportunities
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