Compliance Business Oversight Manager-Corporate Office Compliance Programs

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 Compliance Business Oversight Manager, U.S. Corporate Office Compliance, provides independent second-line compliance risk oversight and subject matter expertise across key U.S. Corporate Office Compliance programs, including Corporate Governance laws, rules, and regulations (LRRs). The role supports the design, implementation, execution, and continuous enhancement of the Regulatory Compliance Management Program by providing effective challenge and oversight of Risk Owners, Oversight Functions, and control activities.

Working across a complex stakeholder environment, the position partners with Legal, Finance, Risk, the Corporate Secretary, Third Party Risk Management, Audit, Technology, Financial Crimes Risk Management, and other functions to ensure regulatory requirements are appropriately identified, assessed, and managed. The role requires strong regulatory acumen, sound risk-based judgment, and the ability to influence positive outcomes across enterprise-wide compliance programs.

The above details are specific to the role which is outlined in the general job description and summary below. Please review the Desired Skills & Experience section below as you consider this opportunity.

Job Description

Summary:

The 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 & Scope:

• Works independently and is accountable for managing a specialized Compliance function or area
• Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates
• Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise
• Provides guidance and support to analysts on matters related to portfolio and specialty
• Typically a subject matter expert for a key functional Compliance area and business
• Contact for business management, dealing with non-routine information
• Manages/assists with regulatory reviews including inquiries, audits, and exams
• Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & Experience:

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

Desired

Skills & Experience:

• Law degree, Certified Regulatory Compliance Manager (CRCM), regulatory agency experience, audit/exam management experience, or other relevant professional certification preferred.
• Demonstrated experience providing independent compliance oversight, regulatory advice, and credible challenge to senior business leaders, Risk Owners, Oversight Functions, corporate functions, and control partners.
• Experience leading or contributing to 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 control oversight.
• Strong understanding of second-line oversight expectations, including the ability to assess program design, challenge control effectiveness, identify regulatory compliance risk, document rationale, and escalate issues appropriately.
• Proven ability to evaluate complex business processes, corporate function activities, third-party arrangements, insider-related processes, and governance…