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. management areas, broader organization, and enterprise as appropriate.
JOB OVERVIEW:
We are seeking an experienced and proactive Senior Manager to lead program operations for Compliance Strategy & Operations and broadly across Corporate Compliance. This is a critical role that reports to the Head of Compliance Strategy & Operations (AVP) and responsible for overseeing compliance business operations including managing audit and exam responses, budget and hiring, process improvement, and executing additional activities on behalf of other compliance organizations at TD.
This is a cross-functional role and will partner closely with change management, program governance, and other key leaders in the organization. The ideal candidate is a self-starter and able to design and implement operational processes within compliance, and has deep compliance knowledge. The role will have three direct reports and manage multiple tasks and priorities effectively with strong problem solving, analytical, and communication skills
JOB SUMMARY:
The Senior Manager, Compliance Governance & Operations leads, develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance.
EDUCATION & EXPERIENCE:
- Undergraduate degree or equivalent work experience
- 10+ years of experience
DESIRED QUALIFICATIONS:
- Bachelor’s degree in Business, Finance, Risk Management, or related field.
- Minimum of 8-10 years of experience in compliance, risk, or business operations within financial services or a similarly regulated industry.
- Proven experience in strategy development, operations management, or enterprise risk/compliance program execution.
- Strong understanding of compliance program pillars (training, issues management, risk assessment, third-party risk, etc.)
- Exceptional analytical, communication, and presentation skills; able to tailor messaging for executive audiences.
- Strong executive writing skills for senior audiences focused on messaging, clarity, and precision.
- Demonstrated ability to lead without authority and influence across all levels of the organization.
- Strong project management skills with the ability to manage competing priorities and deadlines.
- Exceptional attention to detail, organizational skills, and critical thinking skills.
- Master’s degree or professional certification (e.g., CRCM, CAMS, PMP) preferred.
- Familiarity with regulatory expectations tied to enterprise compliance programs, governance, and risk frameworks.
- Experience with management reporting/reporting routines (excluding Board reporting), regulatory exams, or senior-level stakeholder management.
- Comfortable operating in a fast-paced, matrixed environment with evolving priorities.
CUSTOMER ACCOUNTABILITIES:
- Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners
- Provides strategic direction on a broad and diverse range of complex Compliance program activities
- Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD’s Compliance Program
- Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
- Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture
- Takes corrective action and recommends or implements changes to procedures, as required
- Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities
- Participates in/leads enterprise-wide or Compliance focused special projects
- Oversees research, development and implementation of new processes, technologies or operating models
- Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated
- Primary escalation point for significant matters/exceptions
SHAREHOLDER ACCOUNTABILITIES:
- Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities
- Protects the interests of the organization – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
- Works closely with executive management team to support the development of CGO group’s business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale
- Works closely with key business leaders to develop CGO’s and Compliance ‘s business plans, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scale
- Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly
- May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness
- Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements
- Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives
- Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality
- Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations
- Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance
- Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Responsible for management of the overall team providing both leadership and guidance
- Contributes to the development of Compliance functional strategic priorities within their operational area or field of specialty
- Develops annual and/or long term plans for own area and influences plans well beyond area managed
- Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
- Grows team expertise to align with Compliance/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
- Creates and fosters a cohesive team, and promotes a positive work environment. Leads and follows up on action plans to improve employee experience
- Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
- Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
- Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams
- Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
- Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
- Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
- Acts as a brand ambassador for 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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