THE IDEAL CANDIDATE
The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can “roll up their sleeves”, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank’s compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
PLEASE REVIEW THE PREFERRED BACKGROUND & EXPERIENCE SECTION BELOW.
The above details are specific to the role which is outlined in the general description below.
JOB SUMMARY:
The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.
EDUCATION & EXPERIENCE:
- Undergraduate degree or equivalent work experience
- 7+ years of experience
PREFERRED BACKGROUND & EXPERIENCE:
- Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulations
- Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements
- Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems
- Knowledge and experience with risk management environment, standards, and regulations
- Ability to independently identify, assess, and escalate issues requiring senior management attention
- Experience leading bank compliance-related projects with multiple stakeholders and strict deadlines
- Experience presenting to management and regulators
- Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements
- Skill in using computer applications including MS Office
- Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques
CUSTOMER ACCOUNTABILITIES:
- Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
- Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
- Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
- Assists Compliance team members in the use of Issues and Events system for tracking and reporting
- Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
- Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
- Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
- Interacts with control functions within the organization
- Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
- Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive
SHAREHOLDER ACCOUNTABILITIES:
- Adheres to enterprise frameworks and methodologies that relate to activities for our business area
- Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
- Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
- Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
- Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
- Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
- Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
- Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
- Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
- Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
- Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
- Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
- Participates in personal performance management and development activities, including cross training within own team
- Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
- Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
- Contributes to a fair, positive and equitable environment that supports a diverse workforce
- Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
PHYSICAL REQUIREMENTS:
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
- Domestic Travel – Occasional
- International Travel – Never
- Performing sedentary work – Continuous
- Performing multiple tasks – Continuous
- Operating standard office equipment - Continuous
- Responding quickly to sounds – Occasional
- Sitting – Continuous
- Standing – Occasional
- Walking – Occasional
- Moving safely in confined spaces – Occasional
- Lifting/Carrying (under 25 lbs.) – Occasional
- Lifting/Carrying (over 25 lbs.) – Never
- Squatting – Occasional
- Bending – Occasional
- Kneeling – Never
- Crawling – Never
- Climbing – Never
- Reaching overhead – Never
- Reaching forward – Occasional
- Pushing – Never
- Pulling – Never
- Twisting – Never
- Concentrating for long periods of time – Continuous
- Applying common sense to deal with problems involving standardized situations – Continuous
- Reading, writing and comprehending instructions – Continuous
- Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
LI-AMCBCorporate
WHO WE ARE:
TD is one of the world’s leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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