US Compliance - Regulatory Issue Management Manager

TD Bank • Charlotte, NC

4d • $91,000 - $145,600

About The Position

Department Overview: Why Work with Us? 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. Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. The US Compliance – Regulatory Issue Management Manager is responsible for: Managing the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process. Managing the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action. Working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks. Ensuring timely completion of impact assessment and root cause analysis and adherence to program standards for identified regulatory issues. Recognizing opportunities to implement key risk management practices and procedures in the normal course of business operations. Engaging in high-level discussions of compliance risks to line of business stakeholders and understands key risk concepts and their relevance to core business practices. The above details are specific to the role which is outlined in the general job profile below. Please review Desired Skills and Experience below as you consider this opportunity. Job Profile Summary: 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
• Experience developing and implementing risk management frameworks and programs, such as Compliance Risk Assessment (CRA), Risk Control Self-Assessment (RCSA), Issue Management, controls management, Monitoring & Testing, Program Effectiveness Assessments, governance of Compliance documentation
• Familiarity with compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management
• Prior experience working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks.
• Ability to recognize opportunities to implement key risk management practices and procedures in the normal course of business operations
• Familiarity with evaluation of control design and operating effectiveness
• Excellent written, verbal and analytical skills
• Proficiency in project management skills overseeing multiple concurrent workstreams
• Highly motivated, strong attention to detail, team oriented, organized
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level
• Ability to work collaboratively with cross-functional partners across the three lines of defense
• Ability to navigate a complex organization
• Adaptable and can meaningfully contribute to where we have the most pressing needs
• Possesses professional maturity and awareness for how to appropriately prioritize competing priorities against aggressive timelines, and have sound judgment for how and when to escalate
• Advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite

Responsibilities

• Managing the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process.
• Managing the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action.
• Working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks.
• Ensuring timely completion of impact assessment and root cause analysis and adherence to program standards for identified regulatory issues.
• Recognizing opportunities to implement key risk management practices and procedures in the normal course of business operations.
• Engaging in high-level discussions of compliance risks to line of business stakeholders and understands key risk concepts and their relevance to core business practices.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees