Compliance Governance & Operations Manager (US)

Senior Manager, Compliance Governance & Operations

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 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.

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.

Primary responsibilities for this role include:

• Provides or reviews/approves responses to regulatory agencies and Internal Audit.
• Interacts 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.
• Acts as the primary subject matter expert for certain Compliance Program elements and is expected to make decisions regarding compliance with these Program requirements and to promptly escalate instances of non-compliance.
• Works independently as the senior manager/subject matter expert and may coach and educate others. as well as lead a team

The Senior Manager, Compliance Governance & Operations leads, develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance.

Depth & Scope:

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope
• Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management/enterprise areas
• Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.)
• Sets operational team direction and collaborates with others to execute on common goals
• Focuses on longer-range planning for functional area

Education & Experience:

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

Customer Accountabilities:

• Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners
• Provides strategic direction on a broad and diverse range of complex Compliance program activities
• Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
• Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
• Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture
• Takes corrective action and recommends or implements changes to procedures, as required
• Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities
• Participates in/leads enterprise-wide or Compliance focused special projects
• Oversees research, development and implementation of new processes, technologies or operating models
• Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated
• Primary escalation point for significant matters/exceptions

Shareholder Accountabilities:

• Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities
• Protects the interests of the organization identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
• Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale
• Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness and scale
• Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly
• May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness
• Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
• Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements
• Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives
• Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality
• Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations
• Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance
• Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct

Employee/Team Accountabilities:

• Responsible for management of the overall team providing both leadership and guidance
• Contributes to the development of Compliance functional strategi

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