Senior Manager, Compliance Audit and Exam Coordinator

Senior Manager Compliance Programs

TD Bank US Compliance is 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.

Key Responsibilities:

• Draft an annual plan with input from other Compliance Program functions including Risk Assessment, Issue Management, Training, Governance, and Monitoring & Testing
• Proactively coordinate between Compliance Program teams and audit to draft management action plans and close audit issues
• Conduct reviews of audit packages pre-submission for consistency, clarity, and quality
• Address ad-hoc audit requests and pull in other teams as required; draft management action plans
• Perform thematic root cause analysis across open audit issues and exams to identify areas of opportunity to enhance Compliance Programs
• Support Issue Coordinators with issue closure through credible challenge of remediation plans, evidence, and remediation action plan management and support
• Make sure latest regulatory expectations and supervisory feedback are incorporated into management action plans
• Develop a procedure as needed and enhance interaction model between various teams and audit as appropriate

Breadth and Depth:

• Provide 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
• Oversee and lead 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
• Facilitate key strategic discussions and provide thought leadership to executive audience (output may include strategic roadmap and/or deliverables/ frameworks/ short to long term goals etc.)
• Set operational team direction and collaborate with others to execute on common goals
• Focus on longer-range planning for functional area
• Generally reports to executive management

Experience and Education:

• Undergraduate degree
• Relevant professional designations and/or certifications as required
• 10+ years relevant experience

Preferred Skills:

• Must have a minimum of 8 years of experience in Compliance, Risk Management, Audit, or a related compliance role.
• Strong executive writing skills for senior audiences focused on messaging, clarity, and precision.
• Proficiency in Microsoft Office Suite - especially Microsoft PowerPoint, Excel, Word, and Visio.
• Strong stakeholder management skills across different Compliance groups and audit.
• Strong analytical and communication skills with the ability to escalate and articulate risks to senior leadership.
• Exceptional attention to detail, organizational skills, and critical thinking skills.
• Previous experience with remediation programs a plus.

Customer:

• Oversee a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners
• Provide strategic direction on a broad and diverse range of complex Compliance program activities
• Develop Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
• Work with executive team, senior business management/ partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/ compliance issues
• Meet with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture
• Take corrective action and recommend or implement changes to procedures, as required
• Lead role in managing and in responding to periodic exams/ audits and various regulatory bodies related to CGO accountabilities
• Participate in / lead enterprise-wide or Compliance focused special projects
• Oversee research, development and implementation of new processes, technologies or operating models
• Work autonomously as the leader of the team and assist with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promote and monitor 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:

• Lead the team to adhere to enterprise frameworks and methodologies related to overall business management activities
• Protect the interests of the organization identify and manage risks, and promote the prompt and thorough resolution of escalated non-standard, high risk issues
• Work 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
• Work closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale
• Plan and execute on strategic activities, review and communicate results, and adjust tactics accordingly
• May manage overall budget, revenue and expenditures, meet business objectives while increasing efficiency and effectiveness
• Provide mentorship to direct reports; and assume responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain knowledge of end-to-end processes and internal / external partners and regulatory requirements
• Provide inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives
• Contribute to the development of the business plan and operationalize the plan and deliver on assigned service or functionality
• Plan and execute on strategic activities, review and communicate results and adjust tactics accordingly
• Proactively identify key business opportunities, research and recommend enhancements / modifications, develop strategies to achieve recommendations
• Understand TDBG issues/ parameters and guide others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance
• Coach employees to build and enhance their Compliance knowledge and expertise; and assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct

Employee / Team:

• Responsible for management of the overall team providing both leadership and guidance
• Contribute to the development of Compliance functional strategic priorities within their operational area or field of specialty
• Develops annual and/or long term plans for own area and influences plans well beyond area managed
• Provide thought leadership and / or industry knowledge for own area of expertise in own area and participate in knowledge transfer within the team and business unit
• Grow team expertise to align with Compliance /enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
• Create and foster a cohesive team,and promote a positive work environment. Lead and follow up on action plans to improve employee experience
• Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner
• Manage employees in compliance with all human resources policies, procedures and guidelines of conduct
• Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams
• Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes
• Recruit for all hires to ensure a highly diverse, qualified workforce to