Senior Compliance Group Manager - Fair Banking Compliance

TD Bank•Greenville, NY

3d•Onsite

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. Reporting to the Director of Fair Banking Compliance, the role for a Senior Compliance Group Manager – Fair Banking Compliance is a high-level strategic design position that is expected to act with a level of authority, autonomy and experience to direct internal team members and/or business line management regarding enterprise compliance activities and mitigating fair banking compliance risk. The type of compliance experience required is in addition to the knowledge of traditional "technical" regulation support and CMS expectations. This role is heavily focused on governance activities, meeting deadlines, and supports several areas across the fair banking compliance team and initiatives owned by other Directors. The above details are specific to the role which is outlined in the Job summary below. Please review Desired Skills and Experience as you are considering this role. The Senior Compliance Group Manager 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 Senior Compliance Group Manager employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Senior Compliance Group Manager 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 Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.

Requirements

Undergraduate degree or equivalent work experience
10+ years of experience
10+ years of compliance experience within a GSIB, large financial institution, or regulatory environment
Prior fair banking experience and integration with the Compliance Management System
Strong understanding of FRB and OCC regulations and their application across diverse businesses and products
Proven people leader with experience building, developing, and retaining high‑performing teams through effective performance management
Demonstrated ability to foster a strong compliance risk culture and role‑model expected risk behaviors
Experience setting strategic direction, leading complex functions, and collaborating to execute common goals
Ability to facilitate strategic discussions and provide clear, concise thought leadership to executive audiences

Nice To Haves

CRCM preferred
JD preferred

Responsibilities

Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company
Oversees the development of internal processes to identify and manage compliance risks
Leads department strategic planning process to achieve goals
Manages the review of trend analyses of RIMS, Implementation, and self monitoring reports for assigned teams to ensure department standards are met
Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management
Directs the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming
Oversees the testing and implementation of new department databases and major database enhancements
Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations
Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations
Final approver of RIMS and implementation documentation (except BLMs)
Directs the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger
Coordinates budget planning with CCO
Speaks at relevant conference forums
Appoints designee to bank acquisition due diligence efforts
Oversees the development of staff to support departmental succession planning