Compliance Administration Oversight & Reporting Manager

TD Bank•Fort Lauderdale, FL

8d•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. Works independently and is accountable for managing a specialized Compliance function or area. Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates. Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise. Provides 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. Contact for business management, dealing with non-routine information. Manages/assists with regulatory reviews including inquiries, audits, and exams. 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.
Proficiency with ServiceNow, Archer/Merlin, Salesforce, and Microsoft Office applications, including PowerPoint, Excel, OneDrive, and Teams.
Strong business writing, reporting, and executive communication skills.
FINRA Series 7, 63, and 24 preferred.

Nice To Haves

FINRA Series 7, 63, and 24 preferred.

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.