TD Bank

Head of US Compliance Programs

TD Bank • $200K — $280K *
Mount Laurel, NJ 08054Hybrid
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in a relevant field required
  • 10+ years of experience in compliance and risk management
  • In-depth knowledge of financial services and regulatory practices
  • Strong people management and leadership skills
  • Experience in developing and implementing compliance strategies
  • Ability to analyze complex organizational issues and regulatory risks
  • Excellent communication, negotiation, and influencing abilities

Responsibilities

  • Lead and develop compliance programs and strategies
  • Manage performance and development of compliance staff
  • Ensure execution of compliance initiatives as per regulations
  • Oversee reporting for compliance programs including remediation efforts
  • Facilitate strategic planning and stakeholder engagement for compliance
  • Collaborate with regulatory change teams on compliance issues
  • Continuously improve compliance capabilities and governance practices

Benefits

  • Opportunities for professional growth and skill development
  • Supportive work environment with teamwork emphasis
  • Engagement in high-impact regulatory compliance initiatives
  • Access to resources for establishing effective compliance strategies
Full Job Description
Work Location:
Mount Laurel, New Jersey, United States of America

Hours:
40

Pay Details:
$200,000 - $280,000 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:

This role leads and acts as business program owner and foremost subject matter expert in the development and implementation of compliance programs, including design, development, deployment, monitoring, reporting, and resolution.

Depth & Scope:
  • 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
  • Executes on U.S. Initiatives in accordance with the TD Global Compliance Department Mandate and the Regulatory Compliance Management Program
  • Owns Road to Strong for U.S. Compliance, responsible for Road to Strong Roadmap, delivery of Road to Strong Program with oversight over all workstreams and responsibility for related reporting
  • Owns remediation programs and activities for Compliance programs
  • Facilitates the support of strategy for the Compliance team by supporting the design and implementation of stakeholder engagement plans, programs and projects to support strategic Compliance objectives
  • Works closely with the Regulatory Change team within Compliance on interpreting the impact and advising management of current and emerging regulatory and compliance issues, industry or market developments to ensure that anticipated and regulatory changes are considered in business activities and strategic plans
  • Leads the strategy and long-term enablement and capabilities planning for Compliance programs 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
  • Leads strategic program initiatives to continuously improve Compliance enablement and capabilities
  • Accountable for U.S. Compliance engagement with the eGRC program and delivery governance, Compliance advice and input into eGRC related frameworks, policies, processes and procedures
  • With Compliance and Risk partners promotes a strong governance & control environment with periodic assessments against industry practices


Education & Experience:
  • Bachelor's degree required
  • 10+ years related experience required
  • In-depth knowledge of financial services, regulatory and risk industry practices
  • Strong management experience leading regulatory compliance and risk activities
  • Strong Management skills in the development and mentoring of employees
  • 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
  • Demonstrated ability to develop and maintain productive business relationships with internal/external partners
  • Effective negotiation and influencing skills with experience in conveying complex information to general audiences through training materials, written communications and other means
  • 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


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.

About TD Bank

TD Securities offers a range of advisory and capital market services to its clients. The company's range of services includes research, investment banking, capital markets, and global transaction banking. Research consists of commodity and equity research. Investment banking consists of mergers, acquisitions, industry expertise, and credit origination. Global transaction banking consists of trade finance, cash management, and correspondent banking. TD Securities was founded in 1855 and is based in Ontario.

TD Bank Careers

Join the vibrant team at TD Bank, one of North America's leading financial services organizations, where innovation, leadership, and growth go hand in hand. At TD Bank, we are committed to fostering a culture of diversity and inclusion, making it an ideal place for ambitious professionals to thrive. Work You’ll Do At TD Bank, your professional journey is bolstered by a robust support system. From your first interview to every career milestone, you will find opportunities for growth and leadership. Our team is dedicated to helping you develop the skills necessary for success in the ever-evolving financial sector. TD Bank offers a variety of job opportunities across multiple fields, from customer service to investment banking. Each position at TD Bank is a chance to contribute to our culture of innovation and exceptional client service. Internship Programs Kickstart your career with a TD Bank internship. Our programs provide invaluable industry exposure and hands-on experience, making them a perfect starting point for students and recent graduates eager to make their mark in the banking industry. Interns at TD Bank enjoy the unique opportunity to work alongside seasoned professionals, gaining insights that are crucial for future employment. Benefits and Growth TD Bank is deeply committed to the well-being and continuous growth of our team members. We offer competitive benefits packages that cover health, finance, and family care. Our employees enjoy comprehensive health insurance, retirement plans, and generous paid time off, among other perks. Moreover, TD Bank encourages professional development through various training programs, including leadership development and diversity training. These initiatives ensure that our team remains at the forefront of industry standards and best practices. Join Our Team Explore the numerous career paths available at TD Bank and discover how your skills and interests align with our mission. We are actively hiring and continually looking for talented individuals who are passionate about banking and customer service. Networking and Professional Development At TD Bank, we believe in the power of networking and collaboration. Our employees have access to a wide range of networking events, workshops, and seminars that promote career development and professional growth. These platforms not only enhance your professional skills but also expand your industry connections. Stay Connected Keep up to date with the latest at TD Bank Careers by subscribing to our job alert emails. Tailor your subscription to match your career preferences and get the latest news, insider tips, and job opportunities delivered straight to your inbox. Explore job opportunities at TD Bank and be part of a team that values hard work, creativity, and a diverse workplace culture. Your next great career move is just a click away. SEARCH TD BANK JOBS Join us at TD Bank and let your ambition lead you to a rewarding career filled with opportunities to learn, grow, and innovate.
Learn more about TD Bank
Size
90,000 employees
Market Cap
$117.9 billion
Industry
Finance & Insurance
Net Income
-$6.9 million
5 Year Trend
+6.6%
* Ladders Estimates

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