US Compliance Senior Transformation Manager

US Compliance Senior Transformation Manager

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 US Compliance Senior Transformation Manager supports the overall coordination of US regulatory remediation including oversight over all workstreams and responsibility for related reporting. The Manager supports the head of US Compliance Transformation in leading the strategy and long-term enablement and capabilities planning for US Compliance by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions. As part of this, the Manager focuses on tracking, monitoring, and challenging other Second Line of Defense teams in their work to meet deliverables commitments.

The role includes:

• Supports the Transformation program head in tracking and assessing both short-term tactical and longer-term strategic initiatives to continuously improve Compliance remediation, enablement and capabilities
• Leads and supports, in collaboration with the Head, US Compliance Transformation other Compliance leaders, opportunities to align strategic planning, enablement, and productivity initiatives across the Compliance ecosystem.
• Drives Compliance accountabilities for the Compliance remediations for both regulatory commitments and commitments arising from Compliance's program self-assessment.
• Leads fostering innovation and change ready culture within Compliance
• Will not directly manage a team but will support the management of a team of Compliance professionals

The Senior Manager, Compliance Business Oversight manages and leads a team of Compliance professionals and is responsible to develop and maintain all aspects of Compliance programs for TD businesses/functions and legal entities as assigned.

The role also includes:

• Providing people management leadership
• Overseeing and leading a highly complex and diverse Compliance function
• Maintaining highly specialized expertise and in-depth knowledge
• Providing coaching, mentorship and guidance
• Managing and overseeing the overall discipline and strategy for the Compliance area
• Position typically deals with senior/executive management
• Key contact for business management, regulators and external/internal auditors
• Focuses on longer-range planning for functional area
• May manage and prioritize multiple projects at a given time
• Acts as highest point of team escalation for resolution

Education & Experience:

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

Desired Skills & Experience:

• CRCM or equivalent a plus
• Strong skills in compliance regulations, strategies and risk management
• Highly skilled in using computer applications including MS Office
• Highest personal and professional integrity and standards
• Strategic thinker: has excellent judgment
• Delivers on objectives, focuses on what matters
• Transparent communicator and respected TD representative
• Clear, concise communicator with superior written communication skills

Customer Accountabilities:

• Leads, coaches and manages a high performing team
• Determines and decides policy and/or action based on internal and external industry developments
• Proactively reviews and advises the business of new and changed Compliance regulatory and/or policy changes
• Contributes to the development and implementation of Compliance programs
• Works with executive team, senior business unit management/partners to develop proactive strategies
• Ensures team collaboration with partners on business problems/issues
• Reviews and/or contributes on the development and presentation of analysis and insights
• Engages with business partners and business leaders to determine and implement Compliance strategies
• Provides insight, guidance, and recommendation on Compliance subject matter
• Provides explanation and/or resolution for business/Compliance management based findings
• Manages high risk initiatives and escalations
• Manages day to day operations of the department
• Advises on day-to-day Compliance matters
• Maintains oversight of all functions and accountabilities related to management reporting

Shareholder Accountabilities:

• Actively assists in developing and overseeing implementation of business line policies
• Works closely with leaders to develop and operationalize the business plan
• Plans and executes on strategic activities
• Proactively identifies key business opportunities
• Understands TDBG issues/parameters and guides others
• Coordinates and supports team and business Compliance related activities
• Partners with the governance & assurance function
• Provides oversight on enterprise wide annual risk assessment process
• Protects the interests of the organization
• Maintains a culture of risk management and control
• Oversees that employees are building and enhancing their knowledge

Employee/Team Accountabilities:

• Responsible for management of the overall team
• Sets targets/objectives for the team
• Contributes to the development of business line and/or enterprise strategic priorities
• Grows team expertise to align with business/enterprise demand
• Leads a high performing team
• Leads the process of setting performance objectives for the team
• Provides thought leadership and/or industry knowledge
• Manages employees in compliance with all human resources policies
• Shares knowledge, information, skills, and subject matter expertise among the team
• Supports an environment where team freely escalates business challenges
• Recruits for all hires to promote a highly diverse, qualified workforce
• Establishes and fosters a cohesive team
• Acts as a brand ambassador for your business area/function and the bank

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

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United