Director, Governance & Regulatory Readiness

TD•New York, NY

1d•$190,000 - $225,000•Onsite

About The Position

This role is responsible for supporting and maintaining the end-to-end governance framework for the regulatory portfolio. This includes managing the operating rhythm, forums, decision rights, escalation paths, and evidence standards to ensure consistent execution and oversight. The position facilitates regulatory readiness for examinations, audits, and internal assurance activities by coordinating pre-exam planning, information requests, walkthroughs, and response packages, ensuring timely, concise, and high-quality submissions. A key responsibility is maintaining a centralized repository and traceability model for regulatory commitments, remediation actions, milestones, and artifacts, ensuring a clear line of sight from requirement to implementation, testing, validation, and sign-off. The role also defines and enforces reporting standards and controls for governance materials, regulatory correspondence, and management reporting. The Director acts as a central coordination point with Compliance, Risk, Legal, Technology, and Business stakeholders to align regulatory reporting, governance decisions, and messaging. They monitor execution against governance expectations and regulatory commitments, surfacing risks, dependencies, and control gaps early, and driving corrective actions through accountable owners. Additionally, the role develops and tracks readiness metrics and provides decision-ready insights to executive management committees, and supports continuous improvement of exam management, issue management, and control testing processes.

Requirements

Bachelor’s degree or equivalent experience.
10+ years of experience in governance, regulatory compliance, operational risk, audit, or regulatory exam management within a regulated industry (e.g., financial services, fintech, healthcare, energy, telecom).
Demonstrated experience leading enterprise or multi-workstream programs with executive visibility.
Proven ability to manage sensitive information and maintain appropriate confidentiality and recordkeeping.
Bachelor's Degree or Equivalent
7+ Years of Prior Experience
Outstanding record of project management success preferably in Capital Markets, both in results achieved and in use of professional methodology especially using Agile approach
Strong project management skills and demonstrated experience
Solid organizational skills including attention to detail and multi-tasking skills
Excellent written and verbal communication skills
Pro-active in developing and implementing strategies that significantly mitigate risk

Nice To Haves

Experience directly supporting regulatory examinations and managing regulator deliverables end-to-end.
Experience with issue/commitment tracking tooling and evidence repositories (e.g., GRC platforms) and with creating traceability from requirement to control/evidence.
Familiarity with common risk and control frameworks and testing approaches (e.g., COSO, ISO 27001, NIST, SOC 2), as applicable to the organization.
Experience in a second line (Compliance/Risk) or third line (Internal Audit) function, or as a first-line controls leader.

Responsibilities

Support and maintain the end-to-end governance framework for the regulatory portfolio, including operating rhythm, forums, decision rights, escalation paths, and evidence standards to ensure consistent execution and oversight.
Facilitate regulatory readiness for examinations, audits, and internal assurance activities by coordinating pre-exam planning, information requests, walkthroughs, and response packages; ensure timely, concise, high-quality submissions.
Maintain a centralized repository and traceability model for regulatory commitments, remediation actions, milestones, and artifacts; ensure a clear line of sight from requirement to implementation, testing, validation and sign-off.
Define and enforce reporting standards and controls (data quality checks, approvals, versioning, retention) for governance materials, regulatory correspondence, and management reporting.
Act as central coordination point with Compliance, Risk, Legal, Technology, and Business stakeholders to align regulatory reporting, governance decisions and messaging.
Monitor execution against governance expectations and regulatory commitments; surface risks, dependencies, and control gaps early; drive corrective actions through accountable owners.
Develop and track readiness metrics (e.g., response timeliness, evidence completeness, issue aging, closure quality) and provide decision-ready insights to executive management committees.
Support continuous improvement of exam management, issue management, and control testing processes by incorporating lessons learned and evolving regulatory expectations.
Ensures end-to-end delivery of projects
Works in close partnership with all project stakeholders to align plans, timelines, expectations and deliverables to meet project's objectives
Uses negotiation and influencing skills to build consensus amongst diverse stakeholder groups to ensure project deliverables are met
Ensures projects are delivered based on agreed scope, agreed timeline and approved budget
Manages resolution of issues and risks effectively and if required ensures timely escalation of the issues and risks
Communicates effectively project status communication to stakeholders
Manages project financials and benefits realization
Creates and maintains comprehensive project management artifacts as required by project governance standards
Considered as a subject matter expert on practices, procedures and principles of project management
Manages projects through Project Management Life Cycle including Planning, Execution, Control and Closure of projects
Manages / oversees testing deliverables for the project including: testing strategies, planning, preparation and execution activities, review and sign-off of testing documentation

Benefits

base salary and 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
competitive benefits plan
online learning platform
variety of mentoring programs