Manager, Compliance Change Management

TD • Charlotte, NC

9d

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 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. We are seeking a proactive and strategically minded Manager, who can operationalize strategy and manage execution for Compliance Strategy and Operations (S&O) with experience building and scaling compliance programs. The Manager Compliance Change Management, will play a critical role in strengthening the Compliance organization’s governance framework, program execution, and strategic initiatives. This individual will support the design and operation of compliance management routines, facilitate cross-functional workstreams, and drive effective communication and reporting across stakeholders. The ideal candidate possesses strong program management, analytical, and writing skills, coupled with compliance risk management and governance principles experience. The successful candidate is willing to work hands-on to drive key initiatives across compliance, operational risk management, and audit functions, works well in a team dynamic to ensure the seamless execution of complex, high-impact projects. The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events. Depth & Scope: Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity Independently manages end-to-end functional programs Uses sophisticated analytical thought to exercise judgement and identify solutions Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions Impacts the achievement of sub-function or business line objectives within the area they are accountable for Work is guided by policies and industry standards/methods Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders Works autonomously as the lead and guides others within area of expertise

Requirements

• Undergraduate degree or equivalent work experience
• 7+ years of experience
• Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
• Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
• Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
• Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
• Intellectually curious, provides insightful solutions as well as information
• Learns and adapts easily, flexible, and comfortable with ambiguity
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic and be a team player
• Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

Nice To Haves

• Prior experience drafting responses and preparing evidence packages for regulators and internal audit
• Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
• Prior project management experience

Responsibilities

• Change Governance & Execution: Support the governance of end‑to‑end compliance change initiatives, including policy changes, control enhancements, and issue remediation. Assess the operational impact of new or changing regulations, internal policies, and risk findings; translate requirements into actionable change plans. Develop and maintain detailed implementation roadmaps, timelines, dependencies, and risk mitigation strategies. Ensure changes are embedded into business processes, procedures, systems, and controls
• Stakeholder Engagement & Governance Serve as a central point of coordination between Compliance Units and Risk Partners. Facilitate working groups, and change control forums to drive alignment. Prepare executive‑level updates, dashboards, and materials on change status, risks, and outcomes. Escalate risks, blockers, and capacity concerns with clear recommendations.
• Program Management Office (PMO): Track and manage progress across compliance initiatives, ensuring milestones, dependencies, and deliverables are met in alignment with strategic priorities.
• Hands-on Execution: Roll up your sleeves to handle day-to-day compliance tasks while building scalable processes Produce quality work products independently and collectively with team members
• Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
• Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
• Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
• Assists Compliance team members in the use of Issues and Events system for tracking and reporting
• Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
• Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
• Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
• Interacts with control functions within the organization
• Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
• Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive
• Adheres to enterprise frameworks and methodologies that relate to activities for our business area
• Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
• Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
• Manages 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)
• Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
• Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
• Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
• Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
• Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
• Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
• Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
• Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
• Participates in personal performance management and development activities, including cross training within own team
• Keeps 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
• Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
• Contributes to a fair, positive and equitable environment that supports a diverse workforce
• Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Benefits

• 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.
• We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level