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

MINIMUM 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.

PREFERRED 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.

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.

Coordinate annual audit exams and audit inquiries

• Manage audit exams and address key audit findings across Corporate Compliance, including coordinating, reviewing responses to RFIs, manage relationships with auditors, and reporting on progress to Compliance leadership
• Maintain audit / exam log and coordinate audit responses across other Compliance Programs, document interdependencies between audit findings across programs, and provide strategic advice
• Design checklist and perform reviews of audit packages and other documentation prior to audit submission
• Maintain constant communication with auditors and provide responses to inquiries
• Drive key audit findings to conclusion, developing action plans and making sure action plans are executed in a timely and quality manner

Manage staffing and budgeting

• Tracking hiring progress across Compliance Programs and Strategy & Operations, working with hiring managers and conducting interviews as required
• Manage FTEs across Corporate Compliance and aggregate hiring needs for upcoming quarters and fiscal years; draft job aid for new hire onboarding
• Manage fiscal budget including professional fees and vendor contracts; manage vendor contracts for Corporate Compliance

Execute process improvement and additional initiatives

• Inventory list of existing compliance processes including audience and key objectives; recommend enhancements or removal
• Explore automation where possible and use workflow and other tools to improve efficiency
• Lead additional initiatives including updating the Operational Risk Profile, facilitating RCSAs, and other risk and compliance assessments