Senior Manager, Compliance Validations (US)

Work Location:

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.

U.S. Compliance Monitoring and Testing Team Summary:

U.S. Compliance Monitoring and Testing sits within second line Compliance and is responsible for the execution of independent risk-based compliance testing and validation activities to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws rules and regulations. Issue validations are the independent assessment of the appropriateness completeness effectiveness and sustainability of corrective actions taken to address situations defined as issues.

Duties:

The Senior Compliance Testing Manager is responsible for strategic planning and overseeing validations of issues identified by first and second line and tied to compliance risk. This role provides subject matter expertise on Compliance controls/processes and testing and validation execution and is responsible for managing the inventory of issue validations to be performed.

Job Summary:

The Senior Manager Compliance Testing oversees and develops team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements. This role provides guidance leadership coaching and development to achieve desired operational results and professional/personal development objectives for the overall group. Provides assistance/expertise to other Compliance testing teams as appropriate.

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
• Responsible for the timely execution of the Compliance testing plan
• Typically deals with senior/executive management in communicating Compliance testing results
• Leverages deep industry external/internal enterprise knowledge recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas through testing engagements
• Provides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals cascade to all workers
• Guides talent identification and development processes
• Key contact for dealing with a range of complex issues including non-routine information
• Manages and prioritizes the team to deliver on multiple reviews and projects at a given time
• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & Experience:

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

Desired Qualifications:

• Prior experience managing teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards.
• Prior testing audit or business operations experience in areas involving regulatory compliance.
• Prior experience with execution of testing validation or audit activities.
• Detail oriented and well-developed organizational time management and project management skills.
• Strong verbal and written communication skills.
• Ability to manage multiple tasks and competing priorities.
• Proficiency with Microsoft Office applications.
• CRCM certification preferred
• Knowledge and experience with risk management environment standards and regulations.
• Knowledge and experience within compliance or 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
• 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 and Tableau
• Skill in using advanced analytical software tools data analysis methods and specialized reporting techniques
• Ability to independently identify assess and escalate issues requiring senior management attention.

Customer Accountabilities:

• Manages teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards
• Conducts skilled analytical research and analysis as part of the testing engagement and initiatives
• Develops implements tracks and reports on Compliance testing schedules
• Provides overall strategic direction to support the Compliance Testing Program Procedures and processes so that they stay current with established standards and regulatory expectations
• Acts as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management business units and respective teams for area of specialization
• Reports on emerging trends identifying risks and opportunities and recommending action to senior management
• Understands risk identification risk analysis and risk mitigation according to the regulatory requirements and best business practices
• Supports relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as needed
• Provides functional/business level communications to stakeholders and/or leaders that are consistent appropriate and aligned with strategic direction

Shareholder Accountabilities:

• Works closely with key business leaders to develop business plan ensuring the optimal use of resources and leverages TDs operating model to maximize efficiency effectiveness and scale
• Plans and executes on strategic activities reviews and communicates results and adjusts tactics accordingly
• Maintains extensive knowledge of business units and regulatory requirements/compliance issues within the Compliance area
• Provides subject matter expertise complex analysis and advice to business partners/team and applies knowledge in following up on outcomes investigating and/or enforcing policy
• Identifies and implements opportunities for continuous improvement in the Compliance Testing Program
• Leads relationships with business lines/corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements
• Supports team and management in staying knowledgeable on emerging issues trends and evolving regulatory requirements and assesses potential impacts to the Bank
• Assesses/identifies key issues and escalates to management where required
• Supports the facilitation of action/remediation plans as a result of an internal audit and/or regulator review of Compliance Testing Program
• Keeps abreast of emerging issues trends and evolving regulatory requirements and assesses potential impacts to the Bank
• Maintains a culture of risk management and control supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

• Responsible for management of the overall team providing both leadership and guidance
• Sets targets and objectives for the team and delivers results
• Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
• Leads a high performing team; provides on-going feedback and performance reviews coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
• Leads the process of setting performance objectives for the team; tracks monitors and effectively addresses and/or rewards performance in a timely manner
• Manages employees in compliance with all human resources policies procedures and guidelines of conduct
• Shares knowledge information skills and subject matter expertise among the team and promotes the timely communication of issues and encourages good working relationships with other functions and teams
• Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
• Recruits for all hires to ensure a highly diverse qualified workforce to achieve business objectives
• Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives
• 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.

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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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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.