TD
Overview
Compliance Director, Complaints (US)
role at
TD . Job location: New York, NY, United States. Hours: 40 per week. Pay: $200,000 - $280,000 USD. TD is committed to fair and equitable compensation opportunities and supports growth opportunities and skill development. Base pay may vary based on candidate’s skills, experience, location, and business needs. Candidates are encouraged to ask compensation related questions and discuss specifics with the recruiter. Line Of Business:
Conformité Job Description
The
Compliance Director, Complaints
is responsible for developing, implementing and maintaining the
Compliance Program Target Operating Model for Complaint oversight and handling . The Director oversees the bank\'s Complaints program, including the maintenance and implementation of the
Complaint Management and Other Consumer Feedback Reporting Policy
and
Compliance-owned Complaint related processes and procedures . The function provides
Complaint data and analytics support
to U.S. Compliance to proactively monitor risk identified through customer feedback and supports U.S. Compliance and the first line by providing insights gathered by Complaint related data. The Director manages a team of professional experts in compliance and complaint management and is accountable for advancing the program via technology enablement. This role also manages compliance aspects of applicable consumer protection laws and Complaint related regulatory expectations as communicated by federal regulators such as the OCC, FRB and CFBP. The Director works closely with the Customer Advocacy & Insights team and with various internal stakeholders/partners to set Complaint related program expectations and monitor adherence to related policies and procedures. The Director also identifies data needs for stakeholders and regulators, drives opportunities for improvement and generates insights supporting business and risk management decisions and strategies. Depth & Scope
Provides people management leadership by hiring talent, setting goals, developing staff, managing performance and compensation decisions, promoting teamwork and handling disciplinary actions as required Represents and communicates the Compliance Complaints program on executive oversight councils Communicates high risk findings to business and bank leadership and guides the development of corrective action plans Serves as Compliance owner or resource on projects involving critical laws and regulations with significant impact on operations or strategy Develops and enhances scalable compliance programs with effective elements that mitigate risk and establish sustainable controls Leads or participates in regulatory examinations as necessary Leads second line programs for Complaints oversight, management and reporting Leads analytics & reporting for Consumer Complaints and related risk Facilitates strategic discussions and provides thought leadership to executive audiences Represents the Bank in engagements with regulators and industry associations Acts as an executive leader and expert on innovation and developments to support the Complaints program Education & Experience
Bachelor\'s degree or equivalent experience required 10+ Years of related experience In-depth knowledge of the financial services industry, laws, regulations and industry practices Experience leading Complaint related regulatory compliance activities Ability to develop project plans and coordinate/complete projects independently Excellent written and verbal communication skills with ability to summarize issues and present solutions clearly Proven ability to influence without authority Ability to analyze complex laws and relate them to procedures in assigned areas Ability to develop and maintain productive relationships with internal partners and external regulators Excellent analytical skills and judgment in developing compliance programs; proficiency in Microsoft Office and related tools Strong analytical and problem-solving skills to interpret data and draw conclusions Previous leadership experience or progressively responsible department/bank experience Ability to coach and mentor others; conflict resolution skills Ability to balance competing priorities in a fast-paced environment Who We Are
TD is a leading global financial institution. We are committed to customer experience and supporting colleagues in achieving their goals through development conversations, training programs, and a competitive benefits plan. Our Total Rewards Package
Base salary and variable compensation, health and wellbeing benefits, retirement programs, paid time off, banking benefits and discounts, career development, and recognition programs. Additional Information
TD is an equal opportunity employer. All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. If accommodations are needed for the application process, please email the TD Bank US Workplace Accommodations Program.
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Compliance Director, Complaints (US)
role at
TD . Job location: New York, NY, United States. Hours: 40 per week. Pay: $200,000 - $280,000 USD. TD is committed to fair and equitable compensation opportunities and supports growth opportunities and skill development. Base pay may vary based on candidate’s skills, experience, location, and business needs. Candidates are encouraged to ask compensation related questions and discuss specifics with the recruiter. Line Of Business:
Conformité Job Description
The
Compliance Director, Complaints
is responsible for developing, implementing and maintaining the
Compliance Program Target Operating Model for Complaint oversight and handling . The Director oversees the bank\'s Complaints program, including the maintenance and implementation of the
Complaint Management and Other Consumer Feedback Reporting Policy
and
Compliance-owned Complaint related processes and procedures . The function provides
Complaint data and analytics support
to U.S. Compliance to proactively monitor risk identified through customer feedback and supports U.S. Compliance and the first line by providing insights gathered by Complaint related data. The Director manages a team of professional experts in compliance and complaint management and is accountable for advancing the program via technology enablement. This role also manages compliance aspects of applicable consumer protection laws and Complaint related regulatory expectations as communicated by federal regulators such as the OCC, FRB and CFBP. The Director works closely with the Customer Advocacy & Insights team and with various internal stakeholders/partners to set Complaint related program expectations and monitor adherence to related policies and procedures. The Director also identifies data needs for stakeholders and regulators, drives opportunities for improvement and generates insights supporting business and risk management decisions and strategies. Depth & Scope
Provides people management leadership by hiring talent, setting goals, developing staff, managing performance and compensation decisions, promoting teamwork and handling disciplinary actions as required Represents and communicates the Compliance Complaints program on executive oversight councils Communicates high risk findings to business and bank leadership and guides the development of corrective action plans Serves as Compliance owner or resource on projects involving critical laws and regulations with significant impact on operations or strategy Develops and enhances scalable compliance programs with effective elements that mitigate risk and establish sustainable controls Leads or participates in regulatory examinations as necessary Leads second line programs for Complaints oversight, management and reporting Leads analytics & reporting for Consumer Complaints and related risk Facilitates strategic discussions and provides thought leadership to executive audiences Represents the Bank in engagements with regulators and industry associations Acts as an executive leader and expert on innovation and developments to support the Complaints program Education & Experience
Bachelor\'s degree or equivalent experience required 10+ Years of related experience In-depth knowledge of the financial services industry, laws, regulations and industry practices Experience leading Complaint related regulatory compliance activities Ability to develop project plans and coordinate/complete projects independently Excellent written and verbal communication skills with ability to summarize issues and present solutions clearly Proven ability to influence without authority Ability to analyze complex laws and relate them to procedures in assigned areas Ability to develop and maintain productive relationships with internal partners and external regulators Excellent analytical skills and judgment in developing compliance programs; proficiency in Microsoft Office and related tools Strong analytical and problem-solving skills to interpret data and draw conclusions Previous leadership experience or progressively responsible department/bank experience Ability to coach and mentor others; conflict resolution skills Ability to balance competing priorities in a fast-paced environment Who We Are
TD is a leading global financial institution. We are committed to customer experience and supporting colleagues in achieving their goals through development conversations, training programs, and a competitive benefits plan. Our Total Rewards Package
Base salary and variable compensation, health and wellbeing benefits, retirement programs, paid time off, banking benefits and discounts, career development, and recognition programs. Additional Information
TD is an equal opportunity employer. All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. If accommodations are needed for the application process, please email the TD Bank US Workplace Accommodations Program.
#J-18808-Ljbffr