Manager, Compliance Culture (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.

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.

Job Description:

Position Summary

The Manager Compliance Culture will play a critical role in enhancing and sustaining a mature culture of compliance across the compliance organization. This individual will align with enterprise culture programs OSFI Guideline E-13 SR 08-08 and the expectations set for risk culture by the Board and Senior Management. This role will be responsible for designing implementing and overseeing initiatives that embed regulatory compliance values behaviors and mindsets across the enterprise ensuring the bank can proactively navigate uncertainty and maintain strong oversight and control specific to a Culture of Compliance.

This individual will lead efforts to evolve and operationalize cultural maturity by aligning governance strategic intent resources and behavioral norms to build a resilient and sustainable culture of compliance. The role will establish measurable standards and continuous improvement mechanisms to strengthen the banks regulatory compliance program.

Key Responsibilities:
Strategic Cultural Leadership:

• Lead the development and execution of strategies that reinforce a strong compliance culture aligned with the Global Compliance Programs objectives.
• Promote integrity accountability and effective risk management behaviors across all levels of the organization.

Cultural Assessment & Monitoring:

• Design and implement measurable standards and processes for self-assessment and continuous monitoring of compliance culture maturity and effectiveness across Global Compliance.
• Identify gaps trends and opportunities for proactive improvement.
• Governance & Independent Oversight: Support the establishment of clear roles accountability and governance structures to strengthen compliance ownership.

Communication & Engagement:

• Develop and drive a comprehensive communication strategy with culture partners such as H.R. Risk Management Compliance Academy and other key stakeholders to ensure consistent messaging around the desired compliance culture.
• Engage stakeholders across Compliance and the business to promote shared cultural values and drive behavioral change.
• Program Development & Continuous Improvement:
• Own the development and continuous refresh of the Culture Report.
• Based on the output of the Culture Report and other key drivers establish processes for formal reflection and feedback loops to promote adaptive learning and continuous program enhancement.
• Serve as a key contributor to the design and evolution of compliance culture initiatives training behavioral reinforcement tools and other key culture drivers

The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs including frameworks policies standards and development of procedures awareness and specialized training monitoring reporting and information escalation of issues and events.

Depth & Scope:

• Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
• Integrates knowledge of the enterprise sub-functions or business lines overarching strategy in developing solutions across multiple functions or operations
• Interprets internal/external business challenges and the industry environment recommends course of action and best practices to improve products processes or services
• Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
• Leads cross-functional teams or projects with significant resource requirements risk and/or complexity
• Independently manages end-to-end functional programs
• Uses sophisticated analytical thought to exercise judgement and identify solutions
• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
• Impacts the achievement of sub-function or business line objectives within the area they are accountable for
• Work is guided by policies and industry standards/methods
• Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
• Works autonomously as the lead and guides others within area of expertise

Education & Experience:

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

Preferred Skills:

• 3 years of experience in regulatory compliance risk management culture transformation or organizational change in the financial services industry.
• Deep understanding of compliance frameworks risk culture principles and regulatory expectations (including OSFI Guideline E-13 FRB SR0808 and OCC Heightened Standards).
• Demonstrated success leading cross-functional initiatives focused on behavioral change compliance culture or ethics programs.
• Strong project management facilitation and communication skills with the ability to influence at all levels.
• Strong communication skills that drive engagement and action.
• Proven ability to think strategically and execute tactically in a complex fast-paced environment.
• Bachelors degree required; advanced degree or certifications (e.g. CRCM CCEP) preferred.

Key Competencies:

• Cultural awareness and change management
• Regulatory/ Audit/ Remediation-based acumen and risk-based thinking
• Influencing and relationship-building
• Strategic planning and program execution
• Innovation and continuous improvement mindset

Customer Accountabilities:

• Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
• Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
• Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
• Assists Compliance team members in the use of Issues and Events system for tracking and reporting
• Prepares summaries presentations briefing notes and any other required documentation to effectively report on the status of the Compliance program
• Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative as required
• Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
• Interacts with control functions within the organization
• Conducts meaningful research analysis and assessment of Compliance program activities at the functional level using results to draw conclusions make recommendations assess the effectiveness of enterprise Compliance programs
• Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing packaging and providing information for department executive

Shareholder Accountabilities:

• Adheres to enterprise frameworks and methodologies that relate to activities for our business area
• Makes sure respective programs/policies/practices are well managed meets business needs complies with internal and external requirements and aligns with business priorities
• Consistently exercises discretion in managing correspondence information and all matters of confidentiality; escalates issues where appropriate
• Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls segregation of duties transaction approvals and physical control of assets)
• Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
• Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
• Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions makes recommendations assesses the effectiveness of programs/policies/practices
• Monitors service productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
• Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
• Actively manages relationships within and across various business lines corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
• Keeps abreast of emerging issues trends and evolving regulatory requirements and assesses potential impacts
• Maintains a culture of risk management and control supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

• Participates fully as a member of the team supports a positive work environment that promotes service to the business quality innovation and teamwork and ensures timely communication of issues/points of interest
• Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
• Keeps current on emerging trends/developments and grows knowledge of the business related tools and techniques
• Participates in personal performance management and development activities including cross training within own team
• Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
• Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training coaching and/or guidance as appropriate
• Contributes to a fair positive and equitable environment that supports a diverse workforce
• 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 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.