Compliance Manager - Governance & Reporting

Location: Mount Laurel

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40

Pay Details:

$91,000 - $136,240 USD

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  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 candidate's 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:

Compliance

Job Description:

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 Regulatory Change Office (CRCO) supports TD business lines in identifying, assessing, and implementing regulatory change. The Governance and Reporting (G&R) team supports CRCO leadership and partner teams across the function - such as the Implementation Team and Regulatory Inventory Governance Team. The responsibilities for the Compliance Manager - Governance & Reporting include:

* Maintain and update the US Compliance Regulatory Change policy, procedures, and job aids.

* Collect US regulatory change information and coordinate responses to Global Regulatory Compliance.

* Monitor US adherence to Global Regulatory Change Standards.

* Perform quality control checks of key USCRCO process steps prior to closure.

* Complete the final quality control review of all regulatory implementations and projects prior to closure.

* Support quality control initiatives in partnership with the Regulatory Inventory Governance (RIG) team.

* Track and report on US Compliance enforcement actions.

* Assist in responding to audit and regulatory exam requests, including gathering and organizing supporting materials.

* Support governance meetings with Regulatory Change Leads across the bank.

* Produce routine and ad hoc regulatory change and inventory reporting, including metrics.

* Manage the US Compliance monthly issue monitoring report.

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

Job Description

Summary:

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-function's or business line's 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

Desired

Skills & Experience:

* Experience with banking compliance, legal, and regulatory environments, including governance frameworks, products and services, policies, standards, systems, reporting, and…