Compliance Director, U.S. Compliance Monitoring (US)

TD Bank • Charlotte, NC

7d • $200,000 - $280,000

About The Position

This role is responsible for overseeing the bank’s compliance monitoring functions to promote adherence to regulatory requirements, internal policies, and industry standards. This role plays a critical part in maintaining the bank’s reputation and operational integrity by proactively identifying, assessing, and mitigating compliance risks.

Requirements

• Bachelor’s degree in business, finance, law, or a related field; JD, advanced degree, or CRCM preferred
• 10+ years of experience in compliance, risk management, or audit within the financial services industry
• Strong knowledge of U.S. banking regulations and compliance frameworks
• Proven leadership and team management skills
• Excellent analytical, communication, and problem-solving abilities
• Demonstrated ability to provide strategic leadership and apply enterprise-level risk assessment to design, prioritize, and oversee complex risk programs
• Deep understanding of regulatory requirements with the ability to interpret policy and regulatory expectations into scalable, sustainable operating models
• Proven experience influencing senior stakeholders and governing bodies through clear, concise, and credible communication
• Strong program and change leadership capabilities, including overseeing multiple initiatives, setting direction, and ensuring disciplined execution
• Unquestioned ethical judgment and integrity, with the ability to make sound decisions in complex, high-risk, or ambiguous situations

Responsibilities

• 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
• Designs, builds, and implements industry best practice monitoring program across all applicable business units
• Oversees compliance monitoring activities to confirm alignment with federal U.S. banking regulations and consumer financial protection laws
• Leads the development and execution of compliance risk assessments, identifying areas of potential vulnerability and recommending corrective actions
• Provides regular and ad hoc reports to senior management on compliance monitoring outcomes, trends, and emerging risks
• Contributes to the enhancement and maintenance of compliance policies and procedures
• Supports the coordination with internal and external auditors during compliance reviews, addressing findings and implementing recommendations
• Develops and delivers monitoring training to staff, fostering a culture of compliance throughout the bank
• Supports and enhances ongoing routines with compliance units to identify potential areas of emerging risk
• Empowered to define and implement compliance strategies, set monitoring priorities, and allocate resources to high-risk areas. Can recommend policy changes and escalate significant compliance issues to executive leadership
• Manages a team of compliance professionals and collaborates across U.S. compliance. Responsible for ensuring that the bank’s compliance monitoring framework is robust, effective, and responsive to regulatory changes and business needs
• Approves compliance monitoring plans and methodologies
• Supports investigations into compliance breaches and determines remediation steps
• Recommends remediation actions and process improvements based on monitoring findings

Benefits

• Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.
• Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
• You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees