Senior Manager, Compliance Audit and Exam Coordinator

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Hours:

Pay Details:

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 candidates 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:

Job Description:

Why Work with Us

At TD Bank US Compliance were on a mission to build a more resilient and scalable compliance risk management function. As part of our team youll 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 its 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 banks size complexity and risk this role youll 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 were looking for someone with an entrepreneurial mindsetsomeone 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 banks 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 youll 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.

TD Bank is seeking a Senior Manager to coordinate across Compliance Programs to proactively prepare for audit exams. The manager is responsible for developing an annual plan to address audit requests and feedback. The role requires excellent business writing skills strong organization skills attention to detail and strong executive communication skills to interact with senior compliance stakeholders and audit partners.

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

The above details are specific to the role which is outlined in the general description below. Please review the Desired Skills and Experience section below as you consider this opportunity.

Our team currently operates under a hybrid work model with employees expected to work in the office two days per week. Starting in November 2025 this expectation will increase to four days per week. Please note that due to limited office space the exact timing of this transition may vary depending on availability and individual circumstances.

The Sr. Manager will lead develop and oversee 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.

BREADTH & 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 & 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.

KEY ACCOUNTABILITIES

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 TDs 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 groups business plan ensuring the optimal use of resources and leverage TDs operating model to maximize efficiency effectiveness and scale

• Work closely with key business leaders to develop CGOs and Compliance s business plans ensuring the optimal use of resources and leverage TDs 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 teamand 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 achieve business objectives

• Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives

• Act as a brand ambassador for your business area/function and the bank both internally and/or externally

#LIAMCBCorporate

Who We Are:
TD is one of the worlds 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 States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.