Director, Compliance Technology - Risk & Controls

Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Technology Solutions

Pay Detail:
200000 - 235000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications

Summary:

The Director, Compliance Technology - Risk & Controls is a senior leadership role accountable for strengthening the control environment across Compliance Technology platforms, leading audit and regulatory remediation efforts, driving technical currency and sustainability remediation, and providing disciplined financial oversight across the product group. This role partners closely with Compliance, Internal Audit, Risk, Finance, and Engineering leadership to ensure technology solutions are defensible, resilient, and aligned with regulatory expectations, while maintaining transparency and accountability across multi-year remediation programs.

• Establish and maintain a robust technology risk and control framework aligned to enterprise risk standards, compliance obligations, and regulatory expectations.
• Serve as the primary technology owner for control design, effectiveness, testing support, and issue management across Compliance Technology platforms.
• Ensure controls are sustainable, automated where possible, and embedded into SDLC and operational processes rather than point-in-time fixes.
• Provide clear, consistent executive-level reporting on control health, material risks, and emerging issues.

• Lead end-to-end audit, regulatory, and risk remediation efforts, including issue intake, root cause analysis, design of remediation solutions, execution tracking, and validation readiness.
• Act as the senior technology point of contact for Internal Audit, regulators, and independent reviews, ensuring responses are accurate, timely, and defensible.
• Drive reduction of repeat and thematic findings by addressing systemic gaps and control weaknesses.
• Own remediation governance, milestones, dependency management, and escalation.

• Lead technical currency remediation initiatives, including platform modernization, architectural debt reduction, resiliency improvements, and control-enabling enhancements.
• Ensure remediation solutions improve long-term operability, observability, and auditability, not just regulatory closure.
• Partner with architecture and engineering leads to prioritize remediation work alongside product delivery roadmaps.

• Own financial governance across remediation and control-driven initiatives, including budget planning, tracking, forecasting, and variance explanations.
• Ensure clear separation and traceability between run vs. change spend, capitalizable vs. non-capitalizable costs, and remediation-driven investment.
• Provide transparent, executive-ready financial reporting to senior technology and Compliance leadership.
• Support business cases and funding requests tied to regulatory findings and control gaps.

• Provide strong leadership across globally distributed technology teams, driving accountability, delivery discipline, and control-first engineering culture.
• Partner closely with Compliance, Risk, Finance, Audit, and Product leadership to align remediation priorities and execution plans.
• Act as a trusted advisor to senior leadership on technology risk posture, remediation progress, and residual risk acceptance.

• 12+ years of experience in technology leadership roles, preferably within Compliance, Risk, Surveillance, or regulatory-driven environments.
• Strong background in technology risk management, controls, and audit remediation within financial services.
• Demonstrated experience leading large-scale remediation or regulatory programs with executive visibility.
• Solid understanding of SDLC governance, technical debt, data quality controls, and platform resiliency.
• Proven ability to manage program financials, including budgeting, forecasting, and executive-level reporting.
• Excellent stakeholder management skills with the ability to communicate complex risk topics clearly and confidently.
• Experience supporting regulatory remediation (e.g., audit findings, consent orders, supervisory actions).
• Familiarity with Compliance, Surveillance & Supervision platforms and associated data/control challenges.
• Experience embedding controls-by-design into modern engineering and data platforms.
• Prior accountability for multi-year remediation roadmaps spanning technology, process, and governance change.

• Role generally supports a significant business area, product group, Enterprise Platform, Service or Capability under a Segment CIO or technology functional area.
• Sets work direction at an operational level, works autonomously in the management of the unit and collaborates with other business or technology leaders to establish and execute on common goals with a medium to longer term business perspective
• Expert knowledge of the business and bank technology standards (e.g., infrastructure, architecture, processes, applications) from a strategic perspective and managing/ directing teams and projects
• Sound knowledge of external competition, emerging, industry and/or market trends in relation to own business
• Integrator role that oversees various technology functions / resources to deliver business technical solutions or shared service
• Oversees a sizable and varied team of technology professionals (e.g., up to 50+ consisting of Application Developers, Solutions Designers, Business Systems Analysts, Specialists, and/or Project Managers) in the end to end delivery of complex projects, system enhancements / applications and/or application or service management
• Directs/manages large-scale applications/ projects across multiple product lines/ businesses, involving significant scope and complexity
• Understands strategic direction (including financials) and champions alliances to benefit the Bank and/or department; advocates for operational improvements to enhance the divisions value to the organization
• Role typically reports to an Executive role

• Undergraduate degree or Technical Certificate.
• Graduate degree, preferred.
• 10+ years related experience.
• Expert knowledge of the business and bank technology standards (e.g., infrastructure, architecture, processes, applications) from a strategic perspective and managing/ directing teams and projects.
• Sound knowledge of external competition, emerging, industry and/or market trends in relation to own business.
• Understands strategic direction (including financials) and champions' alliances to benefit the Bank and/or department; advocates for operational improvements to enhance the divisions value to the organization.

• 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