JOB DESCRIPTION:

Preferred candidate identified
We are seeking a highly motivated and experienced Senior Manager to join the Compliance Strategy & Operations team. This critical role that repots to the Head of Compliance Strategy and Operations (AVP) and will lead the coordination and execution and reporting of Operational Risk Management (ORM) programs for the Compliance function. The ideal candidate possesses strong analytical skills, effective communication and presentation abilities, and a proven track record of driving cross-functional collaboration. This role does not have direct reports but will work closely with senior leaders across Compliance and Operational Risk to execute key risk programs, facilitate robust business routines, and deliver actionable reporting.

PREFERRED SKILLS:

• Bachelor’s degree in Business, Finance, Risk Management, Legal, 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 compliance operations, risk assessments, and control frameworks, or operational risk/compliance program execution.
• Proven ability to engage and influence stakeholders at all levels
• Exceptional analytical, communication, and presentation skills; able to tailor messaging for executive audiences.
• Demonstrated ability to lead without authority and influence across all levels of the organization.
• Highly proficient in Microsoft PowerPoint, Excel, and Word.
• Familiarity with regulatory expectations tied to enterprise compliance programs, governance, and risk frameworks.
• Strong project management skills with the ability to manage competing priorities and deadlines.
• Comfortable operating in a fast-paced, matrixed environment with evolving priorities.

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.

• Risk and Control Self-Assessment (RCSA) Program
• Establish and maintain an inventory of Compliance assessable units, business processes, and value chains.
• Develop and manage the RCSA schedule for Compliance units and related processes.
• Coordinate and facilitate the execution of RCSAs across Compliance functions.
• Lead RCSA workshops and advise risk/control owners throughout the process.
• Support risk/control owners in identifying risks, controls, vendors, process flows, and issues.
• Conduct control testing to validate results.
• Coordinate independent review and challenge with ORM and other risk partners.
• Manage the annual refresh of the Compliance assessable units, business processes, and value chains inventory.
• Resolution Planning
• Lead Compliance’s contributions to the bank’s Resolution Plan.
• Collaborate with resolution strategy teams to ensure alignment with enterprise expectations.
• Provide subject matter content to resolution plans to support the development and maintenance of Business Continuity Plans (BCP).
• Manage BCP access, exercises, and tests.
• Provide quality assurance to Plan Executive on BCP, exercises, and test records.
• Responsible of the activation and execution of BCPs.
• Operational Risk Profile and Reporting
• Lead the assessment of the Compliance department’s operational risk profile.
• Develop and maintain high-quality reporting on the operational performance of Compliance.
• Track and communicate key risk metrics, trends, and emerging themes.
• Risk Event Attestations
• Coordinate quarterly operational risk event attestations for Compliance units.Perform quality checks on submitted risk events and ensure accuracy in reporting.