Senior Compliance Group Manager Fair Banking Compliance

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

Department Overview

Reporting to the Director of Fair Banking Compliance the role for a Senior Compliance Group Manager Fair Banking Compliance is a high-level strategic design position that is expected to act with a level of authority autonomy and experience to direct internal team members and/or business line management regarding enterprise compliance activities and mitigating fair banking compliance risk. The type of compliance experience required is in addition to the knowledge of traditional technical regulation support and CMS expectations. This role is heavily focused on governance activities meeting deadlines and supports several areas across the fair banking compliance team and initiatives owned by other Directors.

The above details are specific to the role which is outlined in the Job summary below. Please review Desired Skills and Experience as you are considering this role.

Job Summary:

The Senior Compliance Group Manager oversees assigned compliance functions for the Company and supports the development implementation and maintenance of a regulatory compliance program through compliance activities across various lines of business banking offices and operating departments. This job manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company. The job interacts with senior management in assigned areas developing revising and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Senior Compliance Group Manager employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Senior Compliance Group Manager manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. This job participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings. The Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Banks compliance with all applicable federal rules and regulations.

Depth & Scope:

• Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company

• Oversees the development of internal processes to identify and manage compliance risks

• Leads department strategic planning process to achieve goals

• Manages the review of trend analyses of RIMS Implementation and self monitoring reports for assigned teams to ensure department standards are met

• Oversees the planning creation and maintenance of Corporate compliance database(s) to collect manage and report information required by management

• Directs the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages process automation and HTML programming

• Oversees the testing and implementation of new department databases and major database enhancements

• Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations

• Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations

• Final approver of RIMS and implementation documentation (except BLMs)

• Directs the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger

• Coordinates budget planning with CCO

• Speaks at relevant conference forums

• Appoints designee to bank acquisition due diligence efforts

• Oversees the development of staff to support departmental succession planning

Education & Experience:

• Undergraduate degree or equivalent work experience

• 10 years of experience

Desired Skills & Experience:

• 10 years of compliance experience within a GSIB large financial institution or regulatory environment

• Prior fair banking experience and integration with the Compliance Management System

• Strong understanding of FRB and OCC regulations and their application across diverse businesses and products

• Proven people leader with experience building developing and retaining highperforming teams through effective performance management

• Demonstrated ability to foster a strong compliance risk culture and rolemodel expected risk behaviors

• Experience setting strategic direction leading complex functions and collaborating to execute common goals

• Ability to facilitate strategic discussions and provide clear concise thought leadership to executive audiences

• CRCM preferred

• JD preferred

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.