US Compliance Senior Transformation Manager

TD•Portland, ME

1d•$115,440 - $186,160

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 US Compliance Senior Transformation Manager supports the overall coordination of US regulatory remediation including oversight over all workstreams and responsibility for related reporting. The Manager supports the head of US Compliance Transformation in leading the strategy and long-term enablement and capabilities planning for US Compliance by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions. As part of this, the Manager focuses on tracking, monitoring, and challenging other Second Line of Defense teams in their work to meet deliverables commitments. Supports the Transformation program head in tracking and assessing both short-term tactical and longer-term strategic initiatives to continuously improve Compliance remediation, enablement and capabilities Leads and supports, in collaboration with the Head, US Compliance Transformation other Compliance leaders, opportunities to align strategic planning, enablement, and productivity initiatives across the Compliance ecosystem. Drives Compliance accountabilities for the Compliance remediations for both regulatory commitments and commitments arising from Compliance's program self-assessment. Leads fostering innovation and change ready culture within Compliance Will not directly manage a team but will support the management of a team of Compliance professionals The above details are specific to the role which is outlined in the general job profile below. Please review the desired Skills and Experience section below as you consider this opportunity. The Senior Manager, Compliance Business Oversight manages and leads a team of Compliance professionals and is responsible to develop and maintain all aspects of Compliance programs for TD businesses/functions and legal entities as assigned. Depth & Scope: Provides people management leadership by hiring the appropriate and qualified 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 Compliance function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results Maintains highly specialized expertise and in-depth knowledge to manage Compliance programs for multiple, significant complex businesses, functional areas and/or global business lines Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise Manages and oversees the overall discipline and strategy for the Compliance area while aligning to the enterprise best practices Position typically deals with senior/executive management Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information Focuses on longer-range planning for functional area (e.g. 12 months or greater) May manage and prioritize multiple projects at a given time Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate

Requirements

Undergraduate degree or equivalent work experience
10+ years of experience
Strong skills in compliance regulations, strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
Highly skilled in using computer applications including MS Office, with a focus on PowerPoint
Highest personal and professional integrity and standards to advance TD's vision and protect the brand
Strategic thinker: has excellent judgment, achieves the right risk/reward balance
Delivers on objectives, focuses on what matters and can work across silos to build effective working relationships
Transparent communicator and respected TD representative, both internally and externally
Clear, concise communicator with superior written communication skills

Nice To Haves

CRCM or equivalent a plus

Responsibilities

Supports the overall coordination of US regulatory remediation including oversight over all workstreams and responsibility for related reporting.
Supports the head of US Compliance Transformation in leading the strategy and long-term enablement and capabilities planning for US Compliance by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions.
Focuses on tracking, monitoring, and challenging other Second Line of Defense teams in their work to meet deliverables commitments.
Supports the Transformation program head in tracking and assessing both short-term tactical and longer-term strategic initiatives to continuously improve Compliance remediation, enablement and capabilities
Leads and supports, in collaboration with the Head, US Compliance Transformation other Compliance leaders, opportunities to align strategic planning, enablement, and productivity initiatives across the Compliance ecosystem.
Drives Compliance accountabilities for the Compliance remediations for both regulatory commitments and commitments arising from Compliance's program self-assessment.
Leads fostering innovation and change ready culture within Compliance
Provides people management leadership by hiring the appropriate and qualified 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 Compliance function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results
Maintains highly specialized expertise and in-depth knowledge to manage Compliance programs for multiple, significant complex businesses, functional areas and/or global business lines
Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
Manages and oversees the overall discipline and strategy for the Compliance area while aligning to the enterprise best practices
Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information
Focuses on longer-range planning for functional area (e.g. 12 months or greater)
May manage and prioritize multiple projects at a given time
Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate