Deputy to the US Head of Compliance Programs

TD Bank•Greenville, NY

6d•$115,440 - $186,160

About The Position

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization. The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. The Deputy to the US Head of Compliance Programs oversees assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. This job manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company. The job interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Deputy employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Deputy manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. This job participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings. The Deputy supports the US Head of Compliance Programs and Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations. The above details are specific to the role which is outlined in the general job summary below. Please review Desired Skills and Experience below as you consider this opportunity. 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. 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

Requirements

Undergraduate degree or equivalent work experience
10+ years of experience
Excellent written, verbal and analytical skills
Highly motivated, strong attention to detail, team oriented, organized
Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level
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
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

Nice To Haves

15+ years of relevant experience
JD and/or other relevant certifications
Experience with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing, Program Effectiveness Assessments, governance of Compliance documentation
Experience with developing and implementing 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

Responsibilities

Oversees assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments.
Manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company.
Interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations.
Employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns.
Manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed.
Participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings.
Supports the US Head of Compliance Programs and Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.
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

Benefits

Growth opportunities and skill development are defining features of the colleague experience at TD.
Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role.
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.

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