TD
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Compliance Risk and Reporting Manager
role at
TD Work Location:
Falmouth, Maine, États-Unis d\'Amérique Hours
40 Pay Details
$86,840 - $123,320 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 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 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
Conformité 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. You\'ll play a key role in reshaping compliance structures and processes, driving innovation at every level. This is about creating a culture of compliance that will cascade throughout the organization. The Ideal Candidate The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank\'s size, complexity, and risk profile. You\'ll be strategic, tactical, collaborative and creative, manage day-to-day operations, and help design and implement a forward-thinking compliance program for the future. An entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic environment are essential as the US Compliance team redefines the bank\'s compliance program and structure. You should seek an intellectual challenge, have a desire to learn, and be committed to building something impactful from the ground up. U.S. Compliance Risk and Reporting Team
is responsible for supporting change management initiatives, Process Risk Control Assessment testing, Risk Appetite and Risk reporting for the Compliance Function. This role serves as the liaison between the Compliance function and broader organization policies to ensure alignment from a compliance and governance perspective. In This Position Compliance Risk and Reporting Manager will provide leadership and oversight of process mapping and risk assessments under the Process Risk & Control Self-Assessment Framework. Ensure quality assurance and testing to evaluate the effectiveness of Compliance controls, recommending improvements where necessary. Work closely with Compliance personnel to support and coordinate activities related to the development and rollout of change activities. Ensure compliance with all internal governance documents and regulatory requirements. Establish and maintain comprehensive reporting and governance documentation. Monitor performance and communicate findings through structured reporting activities. Provide governance and operational support for the first line of defense testing program. Collaborate with Compliance and operational teams to implement testing procedures that ensure compliance with regulatory requirements and internal governance standards. Assist in the preparation for internal audits and regulatory examinations. Track remediation efforts and support the resolution of compliance-related findings, ensuring effective communication with relevant stakeholders. Coordinate ad hoc responses to regulatory agencies and manage internal audit findings, requests related to the risk and reporting team\'s oversight. Engage in continuous improvement initiatives to enhance compliance risk and reporting processes, promoting a culture of risk awareness throughout the organization. Education & Experience Undergraduate degree or equivalent work experience 7+ years of experience Preferred Background & Experience Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulations Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems Knowledge and experience with risk management environment, standards, and regulations Ability to independently identify, assess, and escalate issues requiring senior management attention Experience leading bank compliance-related projects with multiple stakeholders and strict deadlines Experience presenting to management and regulators Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements Skill in using computer applications including MS Office; skilled in using advanced analytical software tools, data analysis methods and specialized reporting techniques Customer Accountabilities Works with Compliance partners and other related groups to support creation of documentation and reports required by external regulatory bodies and TD internal groups Leads development of team procedures and governance processes and advises Compliance stakeholders on changes and enhancements to enterprise Compliance programs Provides governance oversight through management of policy and training exemption governance and reporting processes to the Compliance Senior Executive Team Assists Compliance team members in the use of Issues and Events system for tracking and reporting Prepares summaries, presentations, briefing notes, and other required documentation to report on the status of the Compliance program Represents CGO as a specialist on internal or external committees and on enterprise-wide Regulatory Change Management initiatives Delivers relevant subject matter expertise and Compliance advice to business Compliance partners Interacts with control functions within the organization Conducts analysis of Compliance program activities at the functional level and uses results to draw conclusions, make recommendations, and assess effectiveness Participates in/regulates regulatory examinations and audits with respect to requests for information Shareholder Accountabilities Adheres to enterprise frameworks and methodologies related to activities for the business area Ensures programs/policies/practices are well managed and compliant with internal/external requirements Maintains confidentiality and escalates issues; manages business operations for compliance with internal/external requirements Participates in cross-functional initiatives as a subject matter expert Performs research and develops presentations for management or broader audience Analyzes performance and drives continuous process improvements Maintains relationships across business lines and control functions; stays informed of regulatory changes Fosters a culture of risk management and control Employee/Team Accountabilities Participates as a team member and supports a positive work environment focused on service, quality, and teamwork Continues knowledge development and cross-training within the team Keeps others informed about project status and day-to-day activities Provides training, coaching and guidance as appropriate Promotes a diverse and equitable environment; acts as a brand ambassador Physical Requirements Domestic Travel – Occasional; International Travel – Never; Performing sedentary work – Continuous; Reaching forward – Occasional; Concentrating for long periods – Continuous Additional Information TD 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 need accommodations to complete the application process, email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Our Total Rewards Package Our Total Rewards package includes base salary and variable compensation, health and well-being benefits, retirement programs, paid time off, banking benefits and discounts, career development, and recognition programs. Colleague Development TD offers regular development conversations, training programs, mentoring, and diverse career paths to help you grow. Interview Process We will reach out to candidates of interest to schedule an interview and strive to communicate outcomes to all applicants by email or phone. Accommodation TD Bank is an equal opportunity employer. Applicants will be considered without regard to protected characteristics. For accommodations, please contact the TD Bank Workplace Accommodations Program. Note : This description reflects the role and responsibilities at TD Bank and is not intended to be exhaustive.
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Compliance Risk and Reporting Manager
role at
TD Work Location:
Falmouth, Maine, États-Unis d\'Amérique Hours
40 Pay Details
$86,840 - $123,320 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 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 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
Conformité 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. You\'ll play a key role in reshaping compliance structures and processes, driving innovation at every level. This is about creating a culture of compliance that will cascade throughout the organization. The Ideal Candidate The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank\'s size, complexity, and risk profile. You\'ll be strategic, tactical, collaborative and creative, manage day-to-day operations, and help design and implement a forward-thinking compliance program for the future. An entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic environment are essential as the US Compliance team redefines the bank\'s compliance program and structure. You should seek an intellectual challenge, have a desire to learn, and be committed to building something impactful from the ground up. U.S. Compliance Risk and Reporting Team
is responsible for supporting change management initiatives, Process Risk Control Assessment testing, Risk Appetite and Risk reporting for the Compliance Function. This role serves as the liaison between the Compliance function and broader organization policies to ensure alignment from a compliance and governance perspective. In This Position Compliance Risk and Reporting Manager will provide leadership and oversight of process mapping and risk assessments under the Process Risk & Control Self-Assessment Framework. Ensure quality assurance and testing to evaluate the effectiveness of Compliance controls, recommending improvements where necessary. Work closely with Compliance personnel to support and coordinate activities related to the development and rollout of change activities. Ensure compliance with all internal governance documents and regulatory requirements. Establish and maintain comprehensive reporting and governance documentation. Monitor performance and communicate findings through structured reporting activities. Provide governance and operational support for the first line of defense testing program. Collaborate with Compliance and operational teams to implement testing procedures that ensure compliance with regulatory requirements and internal governance standards. Assist in the preparation for internal audits and regulatory examinations. Track remediation efforts and support the resolution of compliance-related findings, ensuring effective communication with relevant stakeholders. Coordinate ad hoc responses to regulatory agencies and manage internal audit findings, requests related to the risk and reporting team\'s oversight. Engage in continuous improvement initiatives to enhance compliance risk and reporting processes, promoting a culture of risk awareness throughout the organization. Education & Experience Undergraduate degree or equivalent work experience 7+ years of experience Preferred Background & Experience Certified Regulatory Compliance Manager or similar knowledge of consumer, commercial, and corporate U.S. bank regulations Knowledge and experience within bank compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems Knowledge and experience with risk management environment, standards, and regulations Ability to independently identify, assess, and escalate issues requiring senior management attention Experience leading bank compliance-related projects with multiple stakeholders and strict deadlines Experience presenting to management and regulators Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements Skill in using computer applications including MS Office; skilled in using advanced analytical software tools, data analysis methods and specialized reporting techniques Customer Accountabilities Works with Compliance partners and other related groups to support creation of documentation and reports required by external regulatory bodies and TD internal groups Leads development of team procedures and governance processes and advises Compliance stakeholders on changes and enhancements to enterprise Compliance programs Provides governance oversight through management of policy and training exemption governance and reporting processes to the Compliance Senior Executive Team Assists Compliance team members in the use of Issues and Events system for tracking and reporting Prepares summaries, presentations, briefing notes, and other required documentation to report on the status of the Compliance program Represents CGO as a specialist on internal or external committees and on enterprise-wide Regulatory Change Management initiatives Delivers relevant subject matter expertise and Compliance advice to business Compliance partners Interacts with control functions within the organization Conducts analysis of Compliance program activities at the functional level and uses results to draw conclusions, make recommendations, and assess effectiveness Participates in/regulates regulatory examinations and audits with respect to requests for information Shareholder Accountabilities Adheres to enterprise frameworks and methodologies related to activities for the business area Ensures programs/policies/practices are well managed and compliant with internal/external requirements Maintains confidentiality and escalates issues; manages business operations for compliance with internal/external requirements Participates in cross-functional initiatives as a subject matter expert Performs research and develops presentations for management or broader audience Analyzes performance and drives continuous process improvements Maintains relationships across business lines and control functions; stays informed of regulatory changes Fosters a culture of risk management and control Employee/Team Accountabilities Participates as a team member and supports a positive work environment focused on service, quality, and teamwork Continues knowledge development and cross-training within the team Keeps others informed about project status and day-to-day activities Provides training, coaching and guidance as appropriate Promotes a diverse and equitable environment; acts as a brand ambassador Physical Requirements Domestic Travel – Occasional; International Travel – Never; Performing sedentary work – Continuous; Reaching forward – Occasional; Concentrating for long periods – Continuous Additional Information TD 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 need accommodations to complete the application process, email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Our Total Rewards Package Our Total Rewards package includes base salary and variable compensation, health and well-being benefits, retirement programs, paid time off, banking benefits and discounts, career development, and recognition programs. Colleague Development TD offers regular development conversations, training programs, mentoring, and diverse career paths to help you grow. Interview Process We will reach out to candidates of interest to schedule an interview and strive to communicate outcomes to all applicants by email or phone. Accommodation TD Bank is an equal opportunity employer. Applicants will be considered without regard to protected characteristics. For accommodations, please contact the TD Bank Workplace Accommodations Program. Note : This description reflects the role and responsibilities at TD Bank and is not intended to be exhaustive.
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