Compliance Manager - Governance & Reporting

TD Bank • Charlotte, NC

5d • Onsite

About The Position

The Compliance Regulatory Change Office (CRCO) supports TD business lines in identifying, assessing, and implementing regulatory change. The Governance and Reporting (G&R) team supports CRCO leadership and partner teams across the function – such as the Implementation Team and Regulatory Inventory Governance Team. This role is part of a mission to build a more resilient and scalable compliance risk management function, driving innovation and creating a culture of compliance throughout the organization.

Requirements

• Undergraduate degree or equivalent work experience
• 7+ years of experience
• Experience with banking compliance, legal, and regulatory environments, including governance frameworks, products and services, policies, standards, systems, reporting, and training requirements
• An understanding of current and emerging banking trends, including regulatory expectations and standards for effective compliance management systems
• Familiarity with the risk management environment, standards, and regulations
• Familiarity with US consumer banking laws and regulations and the US banking agencies’ reporting environment
• A strong ability to research, interpret, and summarize regulatory expectations, laws, regulations, and their impacts on compliance program elements
• Strong written and verbal communication skills
• Strong interpersonal skills
• Experience assembling and organizing materials for audits or regulatory exams
• An ability to analyze, organize, and prioritize work while managing multiple deadlines
• Ability to handle confidential information with discretion
• Proficiency in Microsoft Word, Excel, and PowerPoint
• Some knowledge of statistics, data analysis methods, and reporting techniques
• Prior audit, analytical, or related work/education experience is a plus
• Experience with ServiceNow Issue Management and Reporting Modules or similar systems is a plus
• CRCM or other ABA regulatory compliance certifications are a plus

Nice To Haves

• Experience with ServiceNow Issue Management and Reporting Modules or similar systems
• CRCM or other ABA regulatory compliance certifications
• Prior audit, analytical, or related work/education experience

Responsibilities

• Maintain and update the US Compliance Regulatory Change policy, procedures, and job aids.
• Collect US regulatory change information and coordinate responses to Global Regulatory Compliance.
• Monitor US adherence to Global Regulatory Change Standards.
• Perform quality control checks of key USCRCO process steps prior to closure.
• Complete the final quality control review of all regulatory implementations and projects prior to closure.
• Support quality control initiatives in partnership with the Regulatory Inventory Governance (RIG) team.
• Track and report on US Compliance enforcement actions.
• Assist in responding to audit and regulatory exam requests, including gathering and organizing supporting materials.
• Support governance meetings with Regulatory Change Leads across the bank.
• Produce routine and ad hoc regulatory change and inventory reporting, including metrics.
• Manage the US Compliance monthly issue monitoring report.
• Lead the development of team procedures and governance processes and advise Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements.
• Provide governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team.
• Assist Compliance team members in the use of Issues and Events system for tracking and reporting.
• Prepare summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program.
• Represent CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required.
• Deliver relevant subject matter expertise and Compliance advice to business Compliance partners.
• Interact with control functions within the organization.
• Conduct meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, and assess the effectiveness of enterprise Compliance programs.
• Participate in/manage regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive.
• Adhere to enterprise frameworks and methodologies that relate to activities for our business area.
• Ensure respective programs/policies/practices are well managed, meet business needs, comply with internal and external requirements, and align with business priorities.
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate.
• Manage business operations to be in compliance with applicable internal and external requirements (e.g., financial controls, segregation of duties, transaction approvals and physical control of assets).
• Participate in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations.
• Conduct internal and external research projects; support the development/delivery of presentations/communications to management or broader audience.
• Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, and assess the effectiveness of programs/policies/practices.
• Monitor service, productivity and assess efficiency levels within own function and implement continuous process/performance improvements where opportunities exist.
• Lead/facilitate and/or implement actions/remediation plans to address performance/risk/governance issues.
• Actively manage relationships within and across various business lines, corporate and/or control functions and manage alignment with enterprise and/or regulatory requirements.
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts.
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite.
• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/points of interest.
• Support the team by continuously enhancing knowledge/expertise in own area and participate in knowledge transfer within the team and business unit.
• Keep current on emerging trends/developments and grow knowledge of the business, related tools and techniques.
• Participate in personal performance management and development activities, including cross training within own team.
• Keep 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.
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce.
• Act as a brand ambassador for your business area/function and the bank, both internally and/or externally.

Benefits

• Base salary
• 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
• Training programs
• Mentoring programs

What This Job Offers

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