Compliance Business Oversight Manager managing compliance risk at TD Bank. Overseeing Affiliate Transactions Data Review and providing insights on regulatory compliance.
About the role
- Markets Compliance Testing Officer executing compliance testing at MUFG with regulatory compliance focus. Collaborating with global business partners and assessing compliance controls in financial sectors.
Responsibilities
- Assess the adequacy of first- and second-line of defense controls and prepare reviews for senior management detailing assessment of the effectiveness of the Compliance program for in-scope Markets rules.
- Conduct analysis related to laws, rules, regulations and best practices related to the Markets Compliance program.
- Assist Compliance Testing teams from EMEA and APAC with advisory coverage of the relevant U.S. Markets regulations.
- Assist in responding to regulatory inquiries, audits, examinations and investigations.
- Work either independently or as part of a team in executing test programs and supervise and review the work of others that may be assisting on a review.
- Identify control and compliance issues, assess, and document the related risk, identify the root cause, and make reasonable recommendations for resolution.
- Responsible for ongoing communication with “clients” throughout the testing process to keep them apprised of progress and findings.
- Write clear, concise, and analytical evaluation reports and other workpapers summarizing level of risk, scope, objective, findings, and recommendations, consistent with the established procedures and templates.
- Adhere to the Bank’s risk vision, and risk management policies and programs, and identify and effectively manage risks associated with activities in the business lines we support.
- Responsible for the establishment or enhancement of test or review programs associated with Markets compliance and internal program standards.
- Lead complex compliance reviews.
Requirements
- Strong academic credentials – minimum BA or BS degree from an accredited university; Master's degree preferred, professional qualification such as Certified Financial Analyst (CFA), Financial Risk Manager (FRM), Certified Regulatory Compliance Manger (CRCM), Certified Internal Auditor (CIA), or other related professional certification preferred.
- Minimum of 5 to 7 years’ experience in audit, regulatory examination, compliance testing, or similar capacity.
- Minimum of 3 to 5 years’ experience within the banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or a combination of these disciplines within Front Office and support functions such as Risk Management / Compliance Governance Programs, Human Resources, Finance, Legal, etc.
- Familiarity with applicable SEC, FINRA, CFTC, NFA, FRB, and international banking rules applicable to foreign banks.
- Knowledge and understanding of the Dodd-Frank Act Title VII as it pertains to the obligations of Swap Dealers and Security-Based Swap Dealers and Volcker rule.
- Experience working in a global organization, particularly as concerns global markets activities and familiarity with systems for booking, reporting and recording of derivatives transactions.
- Strong overall knowledge of Over-The-Counter (OTC) derivatives products across Rates, Credit, Foreign Exchange, Equities and Commodities.
- Strong understanding of trading strategies as it pertains to Global Trading desks
- Experience with drafting and implementing testing scripts.
- Solid research, analytical and writing skills required.
- Ability to analyze processes and identify risk including assessing changes in processes, making recommendations, and communicating results both verbally and in writing.
- Demonstrate knowledge of and be sensitive to the current regulatory environment.
- Strong work ethics and capacity to act both as an individual contributor who is self-motivated and to serve as a team member.
- Ability to multi-task and work in a dynamically changing environment.
- Demonstrated ability to develop and maintain cooperative, collaborative, and productive business partnerships.
Benefits
- comprehensive health and wellness benefits
- retirement plans
- educational assistance and training programs
- income replacement for qualified employees with disabilities
- paid maternity and parental bonding leave
- paid vacation
- sick days
- holidays
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Regulatory Affairs Professional creating clinical evaluation documents for medical devices in a fast - growing biotech company. Collaborating with stakeholders and ensuring compliance with regulations.
Manager overseeing regulatory affairs for a German implant company in facial and trauma products. Ensuring compliance with regulations, preparing submissions, and advising on medical affairs.
Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
EMEA Regulatory Specialist providing regulatory support at Univar Solutions. Alongside a global team to handle customer inquiries and compliance in the chemical sector.
Regulatory Affairs Coordinator maintaining regulatory documents for research projects at Geneva. Overseeing IRB application processes and supporting research staff with documentation and compliance.
Trade Compliance, Customs and Sanctions Manager role providing compliance advisory on trade controls and customs at Vodafone. Key responsibilities include risk management and stakeholder collaboration on global trade activities.
Regulatory Associate at Reckitt ensuring compliance with global regulatory requirements for new product developments. Collaborating to create comprehensive product registration dossiers and navigate regulatory landscapes.
Lead compliance programs for IESO ensuring adherence to regulations while supporting business and stakeholder engagement in electricity sector.