Line of Business:
Compliance
Job Description:

Department Overview:

The U.S. Compliance Regulatory Change Office (USCRCO) manages regulatory changes and maintains the U.S. regulatory inventory. This role ensures compliance with regulatory requirements and effective change management.

Key responsibilities of the role include:

• Developing and overseeing the federal and state regulatory inventories and governance processes.
• Collaborating with U.S. Compliance teams to maintain and document updates.
• Collaborating with the Global teams as appropriate to maintain adherence to standards and on technology enablement initiatives.
• Managing regulatory content vendor relationships and establish the U.S. Laws, Rules, and Regulations (LRR) citation structure in the GRC tool.
• Conducting data quality reviews.
• Leading management meetings.
• Reporting on regulatory inventory status, metrics, and issues; and assisting in drafting inventory standards.

Please review the Preferred Background & Experience section below in further considering this opportunity.

The above details are specific to the role which is outlined in the general summary below.

Job Summary:

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.

Depth & Scope:

• 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

Education & Experience:

• Undergraduate degree or equivalent work experience
• 10+ years of experience

Preferred Background and Experience:

• JD and/or CRCM certification.
• In-depth knowledge of financial services, regulatory and risk industry practices.
• Experience developing/maintaining regulatory inventories.
• In-depth knowledge of regulatory compliance
• Experience establishing and implementing effective regulatory and risk strategies, policies and plans that support ongoing company business.
• Ability to analyze complex organizational and process issues to isolate regulatory risk exposure.
• Ability to compare new and proposed rules to existing rules to pinpoint potential challenges and succinctly describe the impact of any regulatory changes.
• Demonstrated ability to develop and maintain productive business relationships with internal/external partners.
• Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions.
• Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams.
• Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels.

Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.