Manager, Compliance Program Effectiveness Governance )

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

Hours:
40

Pay Details:
119, 600 - 178,880 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.

Line of Business:
Compliance
Job Description:

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.

• Compliance Operations and Infrastructure Development:
  
  
  • Oversee the development, design, implementation and continuous improvement of the global Compliance Management Program throughout the development lifecycle from initial conception to implementation
• Program Effectiveness Assessment:
  
  
  • Lead the planning, execution, and evolution of TD's global compliance Program Effectiveness Assessment
  • Serve as the lead liaison with first-line business risk owners and compliance oversight functions
  • Support the assessment of first-line risk owners' alignment with compliance requirements to ensure that systems, products, services, and practices comply with enterprise policies, standards, procedures, and applicable regulations
  • Drive the development and implementation of risk metrics and indicators (KRIs/KPIs)
  • Provide assurance and validation of first-line compliance program effectiveness, including methodology alignment, policy and procedure adherence, issue tracking accuracy, and control coverage adequacy, and advise on improvements based on assessment outcomes and findings
  • Maintain detailed testing results, evidence, and outcomes in GRC platform
  • Develop and produce data-driven dashboards and risk reporting materials using tools such as Power BI, Tableau, and Excel for use in senior management and Board-level governance forums
  • Support and contribute to global ORM / ERM initiatives, sharing insights, across jurisdictions and aligning local execution with global ERM program strategy
• Cross-Functional Collaboration:
  
  
  • Partner with and build trust with key business partners and act as a trusted resource
  • Work closely with compliance, risk, operations, and technology teams to implement new workflows, processes, and procedures that align with compliance objectives
  • Collaborate with TD's vertical and horizontal functions to address risk and compliance issues
  • Consult with key stakeholders on solutions based on good internal models and advice
  • Recognize that risk management and compliance are about preparation and prevention, as much as response and recovery
• Hands-on Execution:
  
  
  • Roll up your sleeves to handle day-today compliance tasks while building scalable processes
  • Produce quality work products independently and collectively with team members

• Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
• Integrates knowledge of the enterprise sub-function's or business line's overarching strategy in developing solutions across multiple functions or operations
• Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
• Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
• Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
• Independently manages end-to-end functional programs
• Uses sophisticated analytical thought to exercise judgement and identify solutions
• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
• Impacts the achievement of sub-function or business line objectives within the area they are accountable for
• Work is guided by policies and industry standards/methods
• Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
• Works autonomously as the lead and guides others within area of expertise

• Undergraduate degree or equivalent work experience
• 7+ years of experience

• Minimum 7+ years of compliance risk management, enterprise risk management, operational risk management, or audit experience within a regulated financial service or FinTech environment
• Deep understanding of Risk Control Self-Assessment, Control Testing frameworks, risk assurance methodologies, and regulatory expectations.
• Advance proficiency with GRC platforms (preferably ServiceNow and Archer) and experience managing risk data lifecycle activities
• Strong writing, presentation, and documentation skills with an ability to translate technical findings into actionable business insights
• Consistently delivers high-quality and timely work with attention to detail and a strong sense of ownership and accountability
• Experience with business transformation, regulatory remediation, or change management initiatives as a result of strategic, regulatory, risk-related, technological, or operational evolutions
• Is intellectually curious, learns and adapts to the business, provides insight, solutions as well as information
• Demonstrated ability to think critically, strategically, analytically and to creatively problem solve
• Strong leadership skills with a proven track record in driving positive and sustained change
• Excellent verbal and writing skills
• High sense of ownership, adaptability, flexibility, 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
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic
• Proficient in Word, Excel, PowerPoint, Outlook, Teams, Microsoft Office Suite, Visio, and Power BI
• Master's degree in business administration (MBA), Project Management, Engineering Management, or a related field (a plus)
• Certification in risk management or financial analysis (FRM, PMI-RMP, CFA, etc.) (a plus)
• Prior consulting experience in Compliance Advisory, Risk Management, or Audit (a plus)

• 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

• 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

• 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

• 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