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.
We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations team. In this role you will be responsible for designing, scaling, building, implementing, and maintaining an adaptive and mature Risk Compliance Management program. You will empower first-line risk owners and compliance oversight functions to build and maintain mature compliance programs. You will be responsible for identifying potential compliance risks and working with relevant teams to develop mitigation strategies. Must have a strong background in drafting compliance frameworks, policies, standards, and procedures as you will play a critical role in creating a well-documented scalable, sustainable, and repeatable global compliance framework. You will oversee and manage the global compliance governance document inventory. In this role you will also lead the development and execution of the strategic annual compliance plan. Must be able to work well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment. Demonstrated experience in risk management, risk compliance self-assessment, program effectiveness assessment, and control design effectiveness assessment also desired.
Key Responsibilities :
- Support the global Compliance Program in defining and achieving departmental objectives:
- Design operational risk management plans and the annual compliance strategic plan
- Develop document retention solutions
- Create and maintain inventories, libraries, and archival systems
- Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
- Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
- Drive and support the implementation of enterprise-wide transformation projects
- Perform staffing skills assessments and determine departmental resource gaps
- Develop and maintain a Roles and Responsibilities matrix
- Take ownership of Compliance Governance Documentation
- Reviewing, editing, drafting, and maintaining relevant policies and procedures
- Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
- Lead the development of a structured approach to policy management to ensure clarity and consistency
- Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
- Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
- Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
- Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
- Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
- Lead and draft responses to inquiries from regulators and respond to internal audit findings
- Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
- Strong Project management skills to ensure timelines and deadlines are met
- Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences,
- The ability to work in a team environment
- Performs other duties and responsibilities as assigned
The above details are specific to the role which is outlined in the general description below. Please review the Desired Skills and Experience section below as you consider this opportunity.
Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.
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 SKILLS:
- Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
- Prior experience drafting responses and preparing evidence packages for regulators and internal audit
- Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
- Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
- Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
- Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
- Intellectually curious, provides insightful solutions as well as information
- Learns and adapts easily, flexible, and comfortable with ambiguity
- Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
- Prior project management experience
- Ability to work in a diverse and inclusive workspace
- Ability to work in a team dynamic and be a team player
- Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite
- J.D. from an accredited law school
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.
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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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