VP, Compliance Transformation Program Manager

Work Location:

Hours:

Line of Business:

Pay Detail:

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:

Preferred Qualifications:

The Compliance Transformation team is focused on strengthening how TDS Compliance delivers against its most critical regulatory remediation technology and control priorities. The team provides the structure governance and execution discipline needed to move complex initiatives from strategy to implementation ensuring commitments are clearly defined risks are actively managed progress is transparent and outcomes are aligned to regulatory expectations and business needs.

This role will be responsible for overseeing the execution high priority and high visibility initiatives for TDS Compliance such as the DPA / DOJ Remediation Market Conduct Remediation program Control Enhancement Program Compliance Evolution / Road to Strong initiative etc.

Depth & Scope:

• Contribute to the program management function for TDS Compliance initiatives ensuring strong governance disciplined execution and timely delivery of strategic regulatory remediation and control-related priorities.
• Assist in maintaining an integrated portfolio view of remediation commitments including regulatory audit self-identified and management-driven initiatives to support oversight and senior management reporting.
• Assist in overseeing remediation execution including milestone tracking dependency management risk and issue identification escalation and support for resolving blockers or scope changes.
• Provide informed challenge to project owners and workstream leads by applying both project management discipline and practical Compliance knowledge across regulatory expectations controls surveillance monitoring governance and remediation.
• Drive transparency and accountability across the Compliance change portfolio by ensuring initiatives are clearly scoped appropriately resourced measurable and aligned to business regulatory and Compliance priorities.
• Assist in developing executive-ready reporting for senior Compliance leadership including dashboards milestone updates risk and issue summaries budget impacts dependency tracking and forward-looking delivery views.
• Assist in coordinating the annual TDS Compliance technology budget process including intake of technology requests prioritization business case development investment tracking and alignment of funding to risk mitigation and Compliance value.
• Partner across Compliance Technology 1A/1B Risk Legal Operations and other stakeholders to translate Compliance priorities into executable plans and deliverables.
• Assist in monitoring portfolio health and identify emerging risks including delivery challenges resource constraints budget pressures and control implications.
• Improve execution practices across TDS Compliance by standardizing templates strengthening governance routines enhancing reporting improving dependency management and reducing fragmented or manual processes.

Education & Experience:

• 10 years of progressive experience in Compliance Risk Regulatory Audit Controls Program Management or Transformation roles within a global financial services capital markets broker-dealer or similarly complex regulated environment.
• Demonstrated experience leading or contributing to large-scale transformation remediation regulatory response control enhancement or operating model change programs with senior leadership visibility and cross-functional dependencies.
• Strong understanding of Compliance operating models regulatory expectations 2nd Line of Defense responsibilities risk management frameworks control design issue management surveillance monitoring testing governance and remediation execution.
• Proven ability to translate complex Compliance regulatory audit or control priorities into structured execution plans milestones deliverables governance routines progress reporting and escalation mechanisms.
• Experience supporting regulatory audit self-identified or management-driven remediation initiatives including milestone validation dependency tracking risk and issue management readiness assessment and closure discipline.
• Strong program governance and portfolio management capabilities including the ability to manage multiple high-priority initiatives concurrently maintain an integrated view of execution health and identify emerging delivery resource budget or control risks.
• Experience developing or contributing to executive-ready materials including portfolio dashboards steering committee updates senior management briefings milestone reporting risk and issue summaries decision papers and budget or investment narratives.
• Experience with technology-enabled transformation including intake and prioritization of technology demand business case development budget planning investment tracking workflow design automation data reporting or tooling enhancements.
• Bachelors degree required; advanced degree or relevant professional certification preferred such as MBA JD CPA CAMS CRCM PMP PMI-ACP Lean Six Sigma or other Compliance Risk Project Management or Change Management designation.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate government and institutional clients who choose us for our innovation execution and experience. With more than 6500 professionals operating out of 40 cities across the globe we strive to make every interaction product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues providing trusted advice and industry-leading insight extending access to global markets and delivering integrated transaction banking 2023 we acquired Cowen Inc. offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise while growing our strong diversified investment bank.

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.