Compliance Administration Oversight & Reporting Manager

TD • Fort Lauderdale, FL

2d • $91,000 - $136,240 • Onsite

About The Position

The Compliance Administration Oversight & Reporting Manager ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role. This role works independently and is accountable for managing a specialized Compliance function or area, providing comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates. The role provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise, and 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, this role serves as a contact for business management, dealing with non-routine information, and manages/assists with regulatory reviews including inquiries, audits, and exams. The role identifies and leads problem resolution for project/program complex requirements related issues at all levels.

Requirements

• Undergraduate degree or equivalent work experience
• 7+ years of experience
• Significant experience in Issue Management, Issue Governance, remediation oversight, and regulatory compliance reporting.
• Experience managing issue inventories, corrective action plans, issue escalation, and governance routines.
• Experience coordinating with Compliance, business partners, and remediation stakeholders to drive accountability and issue resolution.
• Experience developing executive-level reporting, dashboards, metrics, and governance materials for senior leadership.
• Experience working within an integrated U.S. wealth management and bank subsidiary environment, with knowledge of securities investment management, fiduciary activities, state insurance regulations, and securities regulatory requirements.
• Knowledge of compliance, audit, legal and regulatory environments, enterprise governance frameworks, policies, standards, and reporting requirements.
• Strong business writing, reporting, and executive communication skills.
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Sitting – Continuous
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

Nice To Haves

• Proficiency with ServiceNow, Archer/Merlin, Salesforce, and Microsoft Office applications, including PowerPoint, Excel, OneDrive, and Teams.
• FINRA Series 7, 63, and 24 preferred.
• Domestic Travel – Occasional
• Responding quickly to sounds – Occasional
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Squatting – Occasional
• Bending – Occasional
• Reaching forward – Occasional

Responsibilities

• Lead Issue Management and Issue Governance activities for US Wealth Compliance, including issue intake, ownership assignment, monitoring, remediation tracking, escalation, and closure in accordance with enterprise governance standards.
• Serve as the primary liaison between Compliance, business partners, and the Remediation Team to drive accountability, coordinate corrective action plans, and ensure timely resolution of compliance-owned issues.
• Develop and deliver executive-level reporting, metrics, dashboards, and governance updates to provide senior leadership with visibility into issue status, remediation progress, risk trends, and key compliance matters.
• Assist in the development, implementation, and maintenance of compliance policies, procedures, and governance frameworks by identifying policy and control enhancements resulting from issue management activities, remediation efforts, and governance reviews.
• Partner with Operations, Technology, and business teams to identify control gaps, support remediation activities, and implement Compliance process and procedures enhancements arising from Issue Management and Governance activities.
• Serve as a Compliance representative on cross-functional issues management initiatives, committees, governance forums, and strategic projects.
• Provide backup support across US Wealth Compliance functions and participate in additional initiatives as required.
• Proactively advises the business of new and changed Compliance regulatory and/or policy changes.
• Formulates relevant and meaningful insights from data analysis and leads on the interpretation of complex business issues, generates multifaceted insights and identifies opportunities to address business regulatory requirements and issues.
• Contributes to the development and implementation of Compliance programs.
• Guides partner through the development, implementation, oversight and management of effective Compliance Programs.
• Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance.
• Represents Compliance on internal or external committees relating to designated business activities as required.
• Delivers relevant subject matter expertise and Compliance advice to business management.
• Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices.
• Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis.
• Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate.
• Actively assists in developing Compliance Team procedures.
• Facilitates the periodic Compliance risk and self-assessment activities for designated business using TD's Enterprise Compliance Risk Assessment Framework.
• Monitors that assessments (monitoring, risk assessment etc.) are completed and communicated in a continuous and timely fashion.
• Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate.
• May provide review and content in the development of annual awareness training.
• Manages the risk assessment process for assigned businesses.
• Protects the interests of the organization, our customers and our communities – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues.
• Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience.
• Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements.
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts.
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite.
• Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest.
• Provides thought leadership and/or industry knowledge for own area of expertise and participates in knowledge transfer within the team and business.
• Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques.
• Participates in personal performance management and development activities, including cross training within own team.
• Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities.
• Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
• Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships.
• Contributes to a fair, positive and equitable environment that supports a diverse workforce.
• Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally.

Benefits

• base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
• health and well-being benefits
• savings and retirement programs
• paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
• banking benefits and discounts
• career development
• reward and recognition

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree