Manager, Compliance Risk Assessment Execution (US)

TD Bank•Charlotte, NY

3d•Onsite

About The Position

TD Bank US Compliance is focused on building a more resilient and scalable compliance risk management function. This role will be key in reshaping compliance structures and processes, driving innovation, and creating a culture of compliance throughout the organization. The Manager supports the execution and maintenance of "Regulatory Compliance Risk Assessments" across the enterprise and is responsible for developing activities and practices that govern and support the identification, management, monitoring, and reporting of compliance risks. The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards, development of procedures, awareness and specialized training, monitoring, reporting and information, and escalation of issues and events.

Requirements

Undergraduate degree or equivalent work experience
7+ years of experience
Undergraduate degree required
8 years of relevant experience in Compliance, Risk Management, Internal Audit, regulatory oversight, or a related discipline.
Advanced proficiency in Microsoft Office applications
Demonstrated leadership capabilities, including leading cross-functional initiatives, coaching colleagues, driving accountability, and operating effectively with minimal supervision in a changing and ambiguous environment.
Excellent written and verbal communication skills, including the ability to prepare clear assessment documentation, executive-level reporting, presentations, and concise recommendations for senior audiences.
Proven relationship management and influencing skills, with the ability to work effectively with Risk Owners, Oversight Functions, regulatory subject matter experts, technology partners, and senior leaders across business lines and jurisdictions.
Strong program and project management capabilities, including coordinating enterprise-wide assessment cycles, maintaining standards, procedures, templates, and governance routines, and delivering high-quality results within established timelines.
Advanced analytical and problem-solving skills, including the ability to analyze complex datasets, identify trends and outliers, assess data quality, and develop actionable risk insights using metrics and assessment results.
Demonstrated ability to provide objective review, effective challenge, and credible oversight of risk assessment methodologies, assumptions, ratings, rationales, and supporting evidence.
Demonstrated experience evaluating the adequacy and effectiveness of controls, identifying control gaps and emerging risks, and developing risk-based recommendations.
Strong knowledge of applicable laws, rules, regulations, regulatory expectations, and emerging compliance risk trends, with the ability to translate requirements into practical risk assessment activities.
Advanced knowledge of regulatory compliance risk management principles, enterprise governance frameworks, and risk assessment methodologies, including inherent risk, control effectiveness, and residual risk assessment.

Nice To Haves

relevant post-graduate degree and/or professional designation is preferred.
experience with governance, risk, and compliance technology and data visualization tools is an asset.
Strategic thinking and continuous improvement mindset, with demonstrated ability to enhance methodologies, streamline processes, support technology-enabled transformation, and implement sustainable solutions with strong attention to detail.

Responsibilities

Support updates to the Enterprise Regulatory Compliance Risk Assessment Standard and procedures to support the execution of the Annual Regulatory Compliance Risk Assessment and Program Effectiveness activities.
Act as a subject matter expert to provide support/assistance to Risk Owners and Oversight Functions in navigating the Regulatory Compliance Risk Assessment workflow.
Conduct quality assurance and quality control activities to maintain data accuracy and data completeness.
Support the Quality Assurance Review team, reaching out to Compliance teams to support timeliness of updates and escalation.
Support the closure of findings against the Regulatory Compliance Risk Assessment Program.
Development of status reporting to support the timely completion of Risk Assessment activities and also developing management reporting for senior audiences.
Develop proactive strategies, processes, and recommendations to senior leaders to run and execute a Regulatory Compliance Risk Assessment.
Support ad hoc transformation changes and projects/tasks as required.
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.