Senior Compliance Business Oversight Manager, (U.S.) Corporate Office Compliance

Senior Compliance Business Oversight Manager, U.S. Corporate Office Compliance

Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll 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 – it's about creating a culture of compliance that will cascade throughout the organization.

The Senior Compliance Business Oversight Manager, U.S. Corporate Office Compliance, is responsible for providing senior-level, independent compliance risk oversight and subject matter expertise for key U.S. Corporate Office Compliance programs and laws, rules, and regulations within the function's scope, including Regulation O, Regulation W, the Volcker Rule, and related governance, monitoring, reporting, training, issue management, regulatory change, and control oversight activities.

The role supports the effective execution and ongoing enhancement of the Regulatory Compliance Management program for Corporate Office Compliance, including credible challenge of business and control function activities, oversight of applicable Risk Owners and Oversight Functions, and coordination with Legal, Finance, Risk, Corporate Secretary, Third Party Risk Management, Audit, and other stakeholders. The role requires strong regulatory judgment, executive presence, practical risk-based decision-making, and the ability to influence outcomes across complex, enterprise-wide compliance programs.

The Team is made up of five Compliance personnel within the Corporate Office Compliance Team. Team oversight expanding to include additional regulatory topics. This role will support all applicable US businesses and shared services.

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

The Senior Compliance Business Oversight Manager provides advice, support and objective guidance to assigned portfolio, business or function on development and maintenance of all aspects of Compliance/Center of Excellence programs in line with the Bank's risk philosophy and strategic direction.

Depth and Scope:

• Leads or supports the development, maintenance, and continuous enhancement of U.S. Corporate Office Compliance oversight programs designed to identify, assess, manage, monitor, and report regulatory compliance risk across assigned laws, rules, regulations, business activities, and corporate functions
• Serves as a senior compliance subject matter expert for Regulation O, Regulation W, the Volcker Rule, and other assigned Corporate Office Compliance topics, including providing regulatory guidance, practical interpretation, and credible challenge to business partners, Risk Owners, Oversight Functions, and control partners
• Provides independent oversight and challenge of applicable procedures, controls, governance processes, monitoring activities, training, reporting, issue remediation, and program documentation to support sustainable compliance with regulatory and enterprise requirements
• Oversees or contributes to core Compliance Risk Management program activities, including regulatory inventory and control mapping, regulatory change management, compliance risk assessments, program effectiveness assessments, monitoring, issue management, training, governance reporting, and records retention
• Supports Corporate Office Compliance oversight of Non-Compliance Oversight Functions by reviewing and challenging evidence of Regulatory Compliance Management program implementation, including governance, operating protocols, annual planning, training, regulatory inventory, risk assessment, monitoring, issue management, and escalation activities
• Provides oversight and governance support for affiliate transactions and Regulation W-related processes, including business line procedure and control reviews, risk and control assessments, NBPA or project engagement reviews, targeted monitoring, training, reporting, and escalation of issues or exceptions
• Supports Corporate Office Compliance's role in third-party compliance oversight by coordinating with Third Party Risk Management, Compliance Units, business lines, and vendor or relationship managers to identify regulatory compliance considerations, challenge control assessment conclusions, and promote appropriate ongoing monitoring guidance
• Partners with Legal, Finance, Risk, Corporate Secretary, Third Party Risk Management, Operations, Technology, Audit, Regulatory Relations, and business stakeholders to promote effective compliance risk management, sustainable control design, and timely escalation of issues
• Reviews and challenges policies, standards, procedures, control documentation,…