TD Bank
Senior Manager - Compliance Programs Governance
TD Bank, Mount Laurel, New Jersey, United States, 08054
Senior Manager
Compliance Programs Governance
The Senior Manager
Compliance Programs Governance is responsible for leading the development, implementation, and continuous improvement of compliance policies and procedures to ensure adherence to regulatory requirements across multiple jurisdictions and business lines, including consumer and commercial banking, broker-dealer operations, and wealth management. This role supports strategic planning for U.S. Compliance by anticipating emerging regulatory challenges and driving sustainable solutions that meet regulatory expectations. The Senior Manager will oversee risk and issue management, program remediation tracking, and stakeholder reporting, while identifying opportunities to streamline compliance functions and improve operational efficiency. Additionally, the role will contribute to communication and training strategies tied to compliance transformation initiatives, collaborating across all three lines of defense. The ideal candidate will bring experience from top-tier financial institutions, a proactive and adaptive mindset, strong judgment under pressure, and the ability to manage competing priorities with professionalism and clarity. The Senior Manager, Compliance Governance & Operations leads, develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance. Depth & Scope: Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.) Sets operational team direction and collaborates with others to execute on common goals Focuses on longer-range planning for functional area Education & Experience: Undergraduate degree or equivalent work experience 10+ years of experience Desired Skills & Experience: 15+ years of relevant experience desired JD and/or other relevant certifications Experience working with top tier banks in large scale, cross-functional regulatory remediation Experience with creating, implementing, maintaining and managing Compliance-driven policies and procedures to ensure alignment with jurisdiction-specific regulatory requirements and organizational adherence Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management Experience supporting the strategy development and long-term enablement and capabilities planning for US Compliance by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue adhering to regulatory expectations Experience supporting the development and roll out of communication strategy, messaging and training associated with Compliance program transformation initiatives Ability to work collaboratively with cross functional partners across the three lines of defense Ability to navigate a complex organization Adaptable and can meaningfully contribute where we have the most pressing needs Possesses the professional maturity and awareness for how to appropriately prioritize competing priorities against aggressive timelines, and have sound judgment for how and when to escalate Advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite Customer Accountabilities: Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners Provides strategic direction on a broad and diverse range of complex Compliance program activities Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture Takes corrective action and recommends or implements changes to procedures, as required Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities Participates in/leads enterprise-wide or Compliance focused special projects Oversees research, development and implementation of new processes, technologies or operating models Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated Primary escalation point for significant matters/exceptions Shareholder Accountabilities: Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities Protects the interests of the organization
identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness and scale Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct Employee/Team Accountabilities: Responsible for management of the overall team providing both leadership and guidance Contributes to the development of Compliance functional strategic priorities within their operational area or field of specialty Develops annual and/or long term plans for own area and influences plans well beyond area managed Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit Grows team expertise to align with Compliance/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered Creates and fosters a cohesive team, and promotes a positive work environment. Leads and follows up on action plans to improve employee experience Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner Manages employees in compliance with all human resources policies, procedures and guidelines of conduct Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives Acts as a brand ambassador for
Compliance Programs Governance
The Senior Manager
Compliance Programs Governance is responsible for leading the development, implementation, and continuous improvement of compliance policies and procedures to ensure adherence to regulatory requirements across multiple jurisdictions and business lines, including consumer and commercial banking, broker-dealer operations, and wealth management. This role supports strategic planning for U.S. Compliance by anticipating emerging regulatory challenges and driving sustainable solutions that meet regulatory expectations. The Senior Manager will oversee risk and issue management, program remediation tracking, and stakeholder reporting, while identifying opportunities to streamline compliance functions and improve operational efficiency. Additionally, the role will contribute to communication and training strategies tied to compliance transformation initiatives, collaborating across all three lines of defense. The ideal candidate will bring experience from top-tier financial institutions, a proactive and adaptive mindset, strong judgment under pressure, and the ability to manage competing priorities with professionalism and clarity. The Senior Manager, Compliance Governance & Operations leads, develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance. Depth & Scope: Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.) Sets operational team direction and collaborates with others to execute on common goals Focuses on longer-range planning for functional area Education & Experience: Undergraduate degree or equivalent work experience 10+ years of experience Desired Skills & Experience: 15+ years of relevant experience desired JD and/or other relevant certifications Experience working with top tier banks in large scale, cross-functional regulatory remediation Experience with creating, implementing, maintaining and managing Compliance-driven policies and procedures to ensure alignment with jurisdiction-specific regulatory requirements and organizational adherence Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management Experience supporting the strategy development and long-term enablement and capabilities planning for US Compliance by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue adhering to regulatory expectations Experience supporting the development and roll out of communication strategy, messaging and training associated with Compliance program transformation initiatives Ability to work collaboratively with cross functional partners across the three lines of defense Ability to navigate a complex organization Adaptable and can meaningfully contribute where we have the most pressing needs Possesses the professional maturity and awareness for how to appropriately prioritize competing priorities against aggressive timelines, and have sound judgment for how and when to escalate Advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite Customer Accountabilities: Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners Provides strategic direction on a broad and diverse range of complex Compliance program activities Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture Takes corrective action and recommends or implements changes to procedures, as required Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities Participates in/leads enterprise-wide or Compliance focused special projects Oversees research, development and implementation of new processes, technologies or operating models Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated Primary escalation point for significant matters/exceptions Shareholder Accountabilities: Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities Protects the interests of the organization
identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness and scale Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct Employee/Team Accountabilities: Responsible for management of the overall team providing both leadership and guidance Contributes to the development of Compliance functional strategic priorities within their operational area or field of specialty Develops annual and/or long term plans for own area and influences plans well beyond area managed Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit Grows team expertise to align with Compliance/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered Creates and fosters a cohesive team, and promotes a positive work environment. Leads and follows up on action plans to improve employee experience Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner Manages employees in compliance with all human resources policies, procedures and guidelines of conduct Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives Acts as a brand ambassador for