Director, Compliance Technology - Risk & Controls

TD • New York, NY

2d • $200,000 - $235,000

About The Position

The Director, Compliance Technology – Risk & Controls is a senior leadership role accountable for strengthening the control environment across Compliance Technology platforms, leading audit and regulatory remediation efforts, driving technical currency and sustainability remediation, and providing disciplined financial oversight across the product group. This role partners closely with Compliance, Internal Audit, Risk, Finance, and Engineering leadership to ensure technology solutions are defensible, resilient, and aligned with regulatory expectations, while maintaining transparency and accountability across multi‑year remediation programs.

Requirements

• 12+ years of experience in technology leadership roles, preferably within Compliance, Risk, Surveillance, or regulatory‑driven environments.
• Strong background in technology risk management, controls, and audit remediation within financial services.
• Demonstrated experience leading large‑scale remediation or regulatory programs with executive visibility.
• Solid understanding of SDLC governance, technical debt, data quality controls, and platform resiliency.
• Proven ability to manage program financials, including budgeting, forecasting, and executive‑level reporting.
• Excellent stakeholder management skills with the ability to communicate complex risk topics clearly and confidently.
• Experience supporting regulatory remediation (e.g., audit findings, consent orders, supervisory actions).
• Familiarity with Compliance, Surveillance & Supervision platforms and associated data/control challenges.
• Experience embedding controls‑by‑design into modern engineering and data platforms.
• Prior accountability for multi‑year remediation roadmaps spanning technology, process, and governance change.
• Undergraduate degree or Technical Certificate.
• 10+ years related experience.
• Expert knowledge of the business and bank technology standards (e.g., infrastructure, architecture, processes, applications) from a strategic perspective and managing/ directing teams and projects.
• Sound knowledge of external competition, emerging, industry and/or market trends in relation to own business.
• Understands strategic direction (including financials) and champions' alliances to benefit the Bank and/or department; advocates for operational improvements to enhance the divisions value to the organization.

Responsibilities

• Risk & Control Ownership Establish and maintain a robust technology risk and control framework aligned to enterprise risk standards, compliance obligations, and regulatory expectations.
• Serve as the primary technology owner for control design, effectiveness, testing support, and issue management across Compliance Technology platforms.
• Ensure controls are sustainable, automated where possible, and embedded into SDLC and operational processes rather than point-in-time fixes.
• Provide clear, consistent executive‑level reporting on control health, material risks, and emerging issues.
• Audit & Regulatory Remediation Leadership Lead end‑to-end audit, regulatory, and risk remediation efforts, including issue intake, root cause analysis, design of remediation solutions, execution tracking, and validation readiness.
• Act as the senior technology point of contact for Internal Audit, regulators, and independent reviews, ensuring responses are accurate, timely, and defensible.
• Drive reduction of repeat and thematic findings by addressing systemic gaps and control weaknesses.
• Own remediation governance, milestones, dependency management, and escalation.
• Technical Currency & Sustainability Remediation Lead technical currency remediation initiatives, including platform modernization, architectural debt reduction, resiliency improvements, and control‑enabling enhancements.
• Ensure remediation solutions improve long‑term operability, observability, and auditability, not just regulatory closure.
• Partner with architecture and engineering leads to prioritize remediation work alongside product delivery roadmaps.
• Program Financial Management Own financial governance across remediation and control‑driven initiatives, including budget planning, tracking, forecasting, and variance explanations.
• Ensure clear separation and traceability between run vs. change spend, capitalizable vs. non‑capitalizable costs, and remediation‑driven investment.
• Provide transparent, executive-ready financial reporting to senior technology and Compliance leadership.
• Support business cases and funding requests tied to regulatory findings and control gaps.
• Leadership & Stakeholder Management Provide strong leadership across globally distributed technology teams, driving accountability, delivery discipline, and control‑first engineering culture.
• Partner closely with Compliance, Risk, Finance, Audit, and Product leadership to align remediation priorities and execution plans.
• Act as a trusted advisor to senior leadership on technology risk posture, remediation progress, and residual risk acceptance.

Benefits

• 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.
• 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