Senior Manager, Regulatory Compliance Risk Assessment (US)

TD•Charlotte, NC

8d•$115,440 - $186,160•Onsite

About The Position

At TD Bank Global 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 is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization. We are seeking a strategic and analytical Senior Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role is ideal for a candidate with a strong foundation in risk assessment methodologies, advanced data and presentation skills, and experience managing people. The Senior Manager will play a key role in executing and enhancing the RCM risk assessment program while leading and developing junior team members and helping to evolve risk governance routines.

Requirements

Undergraduate degree or equivalent work experience
10+ years of experience
Minimum of 8-10 years of experience in compliance, risk management, internal audit, or related fields, with demonstrated leadership or team management experience.
Strong knowledge of enterprise risk assessment frameworks, including risk taxonomy, inherent/residual risk scoring, control evaluation, and aggregation.
Advanced Excel skills (e.g., pivot tables, formulas, data wrangling) and PowerPoint skills (e.g., building executive-ready decks and visual storytelling).
Ability to think strategically and proactively identify opportunities to streamline or enhance risk processes and governance.
Experience mentoring or managing team members and driving individual performance and development.
Strong communication skills, with the ability to tailor content and messaging to various audiences, including senior management.
Highly organized, detail-oriented, and able to manage multiple priorities in a dynamic environment.
Bachelor’s degree in Business, Finance, Risk, or a related field.

Nice To Haves

Experience using GRC platforms or risk assessment tools (e.g., Archer, MetricStream, etc.) (a plus).
Familiarity with financial services or other highly regulated industries(a plus).
Data visualization skills (e.g., Power BI, Tableau) (a plus).

Responsibilities

Lead and facilitate the enterprise compliance risk assessment, including risk identification, evaluation, scoring, documentation, and reporting.
Manage and coach junior team members, providing regular feedback, supporting professional development, and building subject matter expertise across the team.
Collaborate with business units, risk owners, and control partners to gather, validate, and analyze risk and control data.
Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge.
Lead challenge sessions with Risk Owners and Oversight Functions on results, and facilitate key strategic discussions with various stakeholders.
Support the enhancement of the risk assessment methodology, tools, and governance framework by identifying improvement opportunities and proposing solutions.
Develop and maintain clear, compelling PowerPoint presentations and executive-level reporting to communicate results and trends.
Leverage Excel and other tools to process and analyze large data sets to inform risk scoring, thematic insights, and dashboards.
Provide strategic input into the design and improvement of risk reporting routines and management-level governance processes.
Act as a thought partner to the AVP, contributing to the team’s roadmap, quality assurance efforts, and alignment with regulatory expectations.
Participate in regulatory reviews, internal audits, and compliance testing as needed.
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required.
Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope.
Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas.
Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.).
Sets operational team direction and collaborates with others to execute on common goals.
Focuses on longer-range planning for functional area.
Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners.
Provides strategic direction on a broad and diverse range of complex Compliance program activities.
Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program.
Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues.
Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture.
Takes corrective action and recommends or implements changes to procedures, as required.
Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities.
Participates in/leads enterprise-wide or Compliance focused special projects.
Oversees research, development and implementation of new processes, technologies or operating models.
Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated.
Primary escalation point for significant matters/exceptions.
Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities.
Protects the interests of the organization – identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues.
Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD’s operating model to maximize efficiency, effectiveness and scale.
Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scale.
Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly.
May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness.
Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct.
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts.
Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements.
Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives.
Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality.
Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations.
Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance.
Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct.
Responsible for management of the overall team providing both leadership and guidance.
Contributes to the development of Compliance functional strategic priorities within their operational area or field of specialty.
Develops annual and/or long term plans for own area and influences plans well beyond area managed.
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit.
Grows team expertise to align with Compliance/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered.
Creates and fosters a cohesive team, and promotes a positive work environment. Leads and follows up on action plans to improve employee experience.
Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner.
Manages employees in compliance with all human resources policies, procedures and guidelines of conduct.
Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams.
Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes.
Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives.
Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives.
Acts as a brand ambassador for business area/function and the bank, both internally and/or externally.