Work Location:

New York, New York, United States of America

Hours:

40

Pay Details:

$141,960 - $230,880 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Compliance

Job Description:

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.

Please review the preferred background & experience section below as you consider this opportunity.

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 & Experience:

• 15+ years of relevant experience

• JD and/or other relevant certifications

• Experience with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing, Program Effectiveness Assessments, governance of Compliance documentation

• Experience with developing and implementing Compliance-driven policies and procedures to ensure alignment with jurisdiction-specific regulatory requirements and organizational adherence

• Familiarity with Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management

• Excellent written, verbal and analytical skills

• 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 where we have the most pressing needs

• 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

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional

• International Travel – Never

• Performing sedentary work – Continuous

• Performing multiple tasks – Continuous

• Operating standard office equipment - Continuous

• Responding quickly to sounds – Occasional

• Sitting – Continuous

• Standing – Occasional

• Walking – Occasional

• Moving safely in confined spaces – Occasional

• Lifting/Carrying (under 25 lbs.) – Occasional

• Lifting/Carrying (over 25 lbs.) – Never

• Squatting – Occasional

• Bending – Occasional

• Kneeling – Never

• Crawling – Never

• Climbing – Never

• Reaching overhead – Never

• Reaching forward – Occasional

• Pushing – Never

• Pulling – Never

• Twisting – Never

• Concentrating for long periods of time – Continuous

• Applying common sense to deal with problems involving standardized situations – Continuous

• Reading, writing and comprehending instructions – Continuous

• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 (http://hrportal.ehr.com/tdtotalrewards)

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.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.