TD Bank

Manager, Compliance Risk Assessment Execution (US)

TD Bank • $91K — $145K *
Charlotte, NC 28269In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Undergraduate degree or equivalent work experience required; post-graduate degree preferred.
  • 8+ years in Compliance, Risk Management, or related areas.
  • Advanced proficiency in Microsoft Office and experience with GRC technology is an asset.
  • Demonstrated leadership in cross-functional initiatives with minimal supervision.
  • Excellent communication skills tailored for senior-level reporting and presentations.

Responsibilities

  • Support updates to the Enterprise Regulatory Compliance Risk Assessment standards.
  • Serve as a subject matter expert guiding Risk Owners through compliance workflows.
  • Conduct quality assurance to ensure data accuracy and completeness.
  • Assist the Quality Assurance Review team to ensure timely updates and escalations.
  • Report on the status and effectiveness of Risk Assessment activities to senior management.

Benefits

  • Career growth and skill development opportunities.
  • Work within a collaborative and innovative environment.
  • Access to professional training and development resources.
Full Job Description
Work Location:
New York, New York, United States of America

Hours:
40

Pay Details:
$91,000 - $145,600 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:

Reporting to the Senior Manager, Compliance Risk Assessments, the Manager supports the execution and maintenance of the "Regulatory Compliance Risk Assessments" across the enterprise and is responsible for the development of activities/practices that govern and support the identification, management, monitoring, and reporting.

Key Responsibilities:

  • Support updates to the Enterprise Regulatory Compliance Risk Assessment Standard and procedures to support the execution of the Annual Regulatory Compliance Risk Assessment and Program Effectiveness activities.
  • Act as a subject matter expert to provide support/assistance to Risk Owners and Oversight Functions in navigating the Regulatory Compliance Risk Assessment workflow.
  • Conduct quality assurance and quality control activities to maintain data accuracy and data completeness.
  • Support the Quality Assurance Review team, reaching out to Compliance teams to support timeliness of updates and escalation.
  • Support the closure of findings against the Regulatory Compliance Risk Assessment Program.
  • Development of status reporting to support the timely completion of Risk Assessment activities and also developing management reporting for senior audiences.
  • Develop proactive strategies, processes, and recommendations to senior leaders to run and execute a Regulatory Compliance Risk Assessment.
  • Support ad hoc transformation changes and projects/tasks as required.


***The above details are specific to the role which is outlined in the general description below. Please review the Preferred skills below as you consider this opportunity.

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


Education & Experience:
  • Undergraduate degree or equivalent work experience
  • 7+ years of experience


Preferred Skills:
  • Undergraduate degree required; relevant post-graduate degree and/or professional designation is preferred.
  • 8 years of relevant experience in Compliance, Risk Management, Internal Audit, regulatory oversight, or a related discipline.
  • Advanced proficiency in Microsoft Office applications; experience with governance, risk, and compliance technology and data visualization tools is an asset.
  • Strategic thinking and continuous improvement mindset, with demonstrated ability to enhance methodologies, streamline processes, support technology-enabled transformation, and implement sustainable solutions with strong attention to detail.
  • Demonstrated leadership capabilities, including leading cross-functional initiatives, coaching colleagues, driving accountability, and operating effectively with minimal supervision in a changing and ambiguous environment.
  • Excellent written and verbal communication skills, including the ability to prepare clear assessment documentation, executive-level reporting, presentations, and concise recommendations for senior audiences.
  • Proven relationship management and influencing skills, with the ability to work effectively with Risk Owners, Oversight Functions, regulatory subject matter experts, technology partners, and senior leaders across business lines and jurisdictions.
  • Strong program and project management capabilities, including coordinating enterprise-wide assessment cycles, maintaining standards, procedures, templates, and governance routines, and delivering high-quality results within established timelines.
  • Advanced analytical and problem-solving skills, including the ability to analyze complex datasets, identify trends and outliers, assess data quality, and develop actionable risk insights using metrics and assessment results.
  • Demonstrated ability to provide objective review, effective challenge, and credible oversight of risk assessment methodologies, assumptions, ratings, rationales, and supporting evidence.
  • Demonstrated experience evaluating the adequacy and effectiveness of controls, identifying control gaps and emerging risks, and developing risk-based recommendations.
  • Strong knowledge of applicable laws, rules, regulations, regulatory expectations, and emerging compliance risk trends, with the ability to translate requirements into practical risk assessment activities.
  • Advanced knowledge of regulatory compliance risk management principles, enterprise governance frameworks, and risk assessment methodologies, including inherent risk, control effectiveness, and residual risk assessment.

Customer Accountabilities:
  • Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
  • Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
  • Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
  • Assists Compliance team members in the use of Issues and Events system for tracking and reporting
  • Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
  • Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
  • Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
  • Interacts with control functions within the organization
  • Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
  • Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive


Shareholder Accountabilities:
  • Adheres to enterprise frameworks and methodologies that relate to activities for our business area
  • Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
  • Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
  • Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
  • Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
  • Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
  • Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
  • Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
  • Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
  • Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
  • Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
  • Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite


Employee/Team Accountabilities:
  • Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
  • Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit
  • Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
  • Participates in personal performance management and development activities, including cross training within own team
  • Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
  • Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate
  • Contributes to a fair, positive and equitable environment that supports a diverse workforce
  • Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally


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.

#LI-USCorporate

#IN-USCorporate

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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