Deputy to the US Head of Compliance Programs

TD Bank-posted 29 days ago

Full-time • Mid Level

Charlotte, NC

5,001-10,000 employees

Credit Intermediation and Related Activities

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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 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
Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners
Provides strategic direction on a broad and diverse range of complex Compliance program activities
Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture
Takes corrective action and recommends or implements changes to procedures, as required
Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities
Participates in/leads enterprise-wide or Compliance focused special projects
Oversees research, development and implementation of new processes, technologies or operating models
Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated
Primary escalation point for significant matters/exceptions
Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities
Protects the interests of the organization - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale
Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness and scale
Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly
May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness
Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements
Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives
Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality
Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations
Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance
Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct
Responsible for management of the overall team providing both leadership and guidance
Contributes to the development of Compliance functional strategic priorities within their operational area or field of specialty
Develops annual and/or long term plans for own area and influences plans well beyond area managed
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Grows team expertise to align with Compliance/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
Creates and fosters a cohesive team, and promotes a positive work environment. Leads and follows up on action plans to improve employee experience
Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams
Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
Acts as a brand ambassador for business area/function and the bank, both internally and/or externally

Undergraduate degree or equivalent work experience
10+ years of experience
15+ years of relevant 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

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

Our 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.

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