Senior Manager, Compliance Governance & Operations (US)

Senior Compliance Audit And Exam Manager

Work Location : Mount Laurel, New Jersey, United States of America

Hours : 40

Pay Details : $115,440 - $186,160 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 : Why Work with Us?

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.

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.

U.S. Compliance Audit and Exam Management oversees internal audits and regulatory exams of the Compliance function, tracks remediation efforts and assists in remediation of Compliance-owned findings, coordinates ad hoc responses to regulatory agencies and Internal Audit, prepares periodic reporting to multiple stakeholders, and manages ongoing supervision. Teammates interact directly and independently with auditors and regulatory agencies and provides approval for document submissions to these entities, based on professional judgment regarding responsiveness and appropriateness.

In this position, the Senior Compliance Audit and Exam Manager will lead the team responsible for ongoing supervision processes and meetings including material preparation, coordinating across multiple lines of business, responding to requests, and providing guidance in support of the Compliance regulatory engagement strategy.

The Senior Compliance Audit & Exam Manager will manage stakeholder communications, provide input for periodic management reporting, and oversee all ongoing supervision activity. The Senior Compliance Audit and Exam Manager will assist in U.S. and Global Compliance projects, as necessary.

The Senior Compliance Audit and Exam Manager develops and oversees a dynamic team of Compliance professionals who provide support, facilitation and coordination for the Compliance Program. They may also provide specialized project support or services within Compliance.

Preferred Background & Experience :

Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulations

Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements

Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems

Knowledge and experience with risk management environment, standards, and regulations

Ability to independently identify, assess, and escalate issues requiring senior management attention

Experience leading bank compliance-related projects with multiple stakeholders and strict deadlines

Experience presenting to management and regulators

Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements

Skill in using computer applications including MS Office

Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques

Employee / Team Accountabilities :

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

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.