Open to opportunities

Jason Gurzau

@jasongurzau

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Experienced Program Manager with a focus on risk mitigation and compliance.

United States

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What I'm looking for

I am looking for a role that emphasizes strategic leadership, compliance, and risk management, within a collaborative and innovative company culture.

I am an experienced Program Manager with a proven track record in leading multi-disciplinary teams and managing high-impact initiatives within the financial services and compliance sectors. My expertise lies in driving strategic priorities, streamlining operations, and ensuring governance and regulatory readiness across complex portfolios. I possess a strong background in risk assessment, project execution, and stakeholder alignment, which has been instrumental in my career.

Currently, I serve as the Compliance Business Oversight Manager at TD Bank, where I lead compliance assessments across multiple lending business lines. My role involves collaborating with senior leaders to develop materials that translate regulatory priorities into actionable operational initiatives. I synthesize data from various audits and internal systems to craft governance reports that influence executive decisions, showcasing my ability to manage complex compliance landscapes effectively.

Throughout my career, I have held various positions that have honed my skills in risk mitigation and process improvement. From my time as a Senior Testing Analyst to my role as a Team Lead in Brokerage Operations, I have consistently delivered results that enhance data integrity and policy adherence. My commitment to fostering cross-functional collaboration and my deep understanding of regulatory frameworks make me a valuable asset in any organization.

Experience

Work history, roles, and key accomplishments

Current

Compliance Business Oversight Manager

Current

TD Bank

Jan 2023 - Present (2 years 8 months)

Led multi-product compliance assessments across 11 lending business lines, streamlining issue identification and aligning practices with strategic risk goals. Collaborated with senior leaders to develop examiner-facing materials that translate regulatory priorities into operational initiatives.

Compliance Assessments Risk Management Regulatory Compliance Data Synthesis Audit Management

Senior Testing Analyst

TD Bank

Jan 2021 - Present (4 years 8 months)

Partnered across U.S. and Canadian business units to identify compliance risks impacting customer-facing products. Performed user testing and root cause analysis of AML processes, driving enhancements to data integrity and policy adherence.

AML Risk Analysis User Acceptance Testing Root Cause Analysis Process Improvement Data Integrity

Senior Auditor

TD Bank

Jan 2019 - Present (6 years 8 months)

Scoped and executed fieldwork aligned to product, risk, and operations functions within the wealth line of business. Assessed design and effectiveness of internal systems and controls; worked with business leaders to close audit gaps.

Risk Assessment Internal Controls Wealth Management Gap Analysis Stakeholder Management

Team Lead – Brokerage Operations

Capital One Investing

Jan 2016 - Present (9 years 8 months)

Led advisor-facing support team focused on onboarding and servicing Capital One
’s investment platform products. Launched internal feedback loop (Advisor Council) that informed product development and improved back-office SLAs.

Team Leadership Product Support Onboarding SLA Management Regulatory Requirements Product Development

Licensed Banker

Citizens Bank

Jan 2015 - Present (10 years 8 months)

Consulted with high-net-worth clients on financial product selection and performance. Worked cross-functionally with wealth advisors to tailor product offerings to client needs.

Client Relationship Management Wealth Management Financial Products Cross Functional Collaboration

Financial Advisor / District Manager

McAdam Financially Advanced

Jan 2012 - Present (13 years 8 months)

Built client book and advised on investment products under ING Financial Partners. Promoted to District Manager to lead advisor development and enhance service delivery.

Financial Advisor Financial Planning Team Leadership Service Delivery Sales