TD Bank Senior Compliance Specialist in Lexington, South Carolina

Auto req ID 203692BR

Job Title Senior Compliance Specialist

Job Status Full Time

Country United States

Province/State Maine

New Jersey

South Carolina



Mount Laurel




Cust Center Bldg 1

Falmouth - Gray Rd

Greenville Campus B

Lexington Center (SC)

Business line TD Bank AMCB

Job Category - Primary Anti-Money Laundering | Compliance & Regulatory Relations

Job Category(s) Anti-Money Laundering | Compliance & Regulatory Relations

TD Description

About TD Bank, America's Most Convenient Bank®

TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit at Find TD Bank on Facebook at and on Twitter at .

TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit at .

Job Description

The Senior Compliance Specialist supports compliance functions for the Company and supports the development,implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. The Senior Compliance Specialist reviews Compliance or business line audit and test results to assist with/perform analysis against regulatory requirements and Company policy. The Senior Compliance Specialist assists with the identification of training needs in areas of responsibility and participates in the development and/or review of training materials created by business lines or Corporate Compliance. This job also supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable Federal consumer protection laws and regulations.

Job Requirements

•Responsible for managing ongoing deliverables related to the Compliance Program and the analysis, tracking and reporting on the status of those Program elements

•Supports the Monitoring Program and the First Line Quality Control Testing Program governance responsibilities

•Acts as SME for Compliance technology -- performs maintenance & oversight, suggests enhancements, and acts as a Department resource

•Performs tracking & reporting of compliance-owned exam and audit issues and associated remediation and supports management of exams and audits of the U.S. Compliance function

•Supports U.S. completion of Annual CCO Opinion Process

•Supports the development of the Conduct Risk Program

•Supports other Compliance Governance and Assurance responsibilities such as reporting, Quality Assurance Review (QAR) and U.S. CCO and U.S. Compliance strategic initiatives as needed

•Special projects as needed

•Coaches and educates others on assigned team or within department.

•Provides day to day interaction and support to Management.

•Oversees/executes and/or performs tasks from beginning to end.

•Focuses on short to mid-term issues (e.g. monthly-quarterly).

•Identifies issues, through evaluation of policies, practices, and industry guidance in order to develop and evaluate proposed resolutions and their impact on business processes and resources.

•Interacts and communicates with staff and senior management of the Bank and requires minimal supervision of work product.

•Supports the evaluation of the effectiveness of compliance programs, providing knowledgeable advice and counsel for business lines or assigned areas.

•Assists various departments of the Bank in response to periodic examinations by regulatory agencies. Supports compliance management in direction and monitoring of follow up efforts to correct any deficiencies discovered in a regulatory examination or internal audit.

•Represents compliance team at various meetings as directed.

•Compiles compliance analyses and recommendations for presentation and review by compliance management. Explains findings and recommendations to management to secure approval for changes.

  • Must be eligible for employment under regulatory standards applicable to the position.


•Bachelor’s degree or progressive work experience in addition to experience below

•5-7 Years of related experience

•In depth knowledge of applicable laws and regulations, research skills and presentation skills

•Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that identify and quantify risk as well as present sound solutions taking into account Bank operations and culture

•Ability to analyze the most complex laws, regulations and regulatory expectations and relate those to operational procedures, company policies, and industry trends

•Ability to communicate effectively with senior level management

•Proven experience in project coordination and ability to work independently

•Ability to use personal computer for word processing and electronic filing and retrieval of documents

•Strong analytical skills and basic mathematical ability to understand and test disclosures

•Travel required; some extended overnight travel

•Proficiency in Microsoft Office applications, Visio, Adobe Acrobat, and online course authoring and graphics tools, as required for team supported


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach her/his potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

**Province/State (Primary) New Jersey

City (Primary) Mount Laurel

ProvState 2 Maine

City(s) 2 Falmouth

ProvState 3 South Carolina

City(s) 3 Lexington

ProvState 4 South Carolina

City(s) 4 Greenville