Work Location:Charlotte, North Carolina, United States of America
Hours:40
Pay Details:$115,440 - $186,160 USD
Line of Business:Compliance
Job Description:The Ideal CandidateThe ideal candidate is a strategic, execution-focused leader with deep experience in compliance training and program management within a complex, regulated environment. This individual brings a strong balance of vision and operational rigor-able to define a clear training strategy while driving disciplined execution across the full training lifecycle.
They are highly skilled at translating regulatory expectations and business priorities into a structured, end-to-end training program, including curriculum design, audience segmentation, delivery channels, and governance requirements. The candidate demonstrates strong judgment in aligning stakeholders, ensuring content accuracy, and managing competing priorities to deliver high-quality training on time and at scale.
This individual is a proactive problem-solver who actively monitors program performance, identifies risks, and drives timely escalation and resolution. They are comfortable operating in a fast-paced environment, bringing structure and clarity to ambiguity while maintaining strong attention to detail.
The ideal candidate is also an effective communicator, capable of synthesizing complex information into clear, concise updates for senior leadership, including progress, risks, and recommended actions. They excel at building relationships across Compliance, HR, and business stakeholders, fostering alignment and accountability.
Additionally, this individual brings experience leading or guiding junior resources, providing direction on analytics, reporting, and execution support, while maintaining high standards for quality and delivery.
Department Overview The U.S. Compliance Training team drives program oversight to ensure training activities are effectively executed, monitored, and aligned with regulatory expectations. The team delivers reporting, insights, and governance support while partnering across Compliance and business lines to maintain accurate tracking, support regulatory readiness, and enhance training processes.
Job Summary:The Senior Manager - Compliance Training Lead is responsible for leading the U.S. Compliance Training function, driving the strategy, design, governance, and execution of enterprise compliance learning programs. This role ensures employees receive timely, effective, and regulatory-compliant training by partnering with Compliance subject matter experts, HR, business leaders, and other stakeholders to develop and deliver a comprehensive compliance training program. The leader oversees curriculum planning, content development, training operations, reporting, and continuous improvement while providing strategic guidance on regulatory requirements, training governance, risk mitigation, and audit readiness. This position also leads a team responsible for training analytics, execution, and program administration, using data and insights to continuously improve learning effectiveness and support executive decision-making.
Key Responsibilities:- Develop and execute the U.S. Compliance Training strategy, including the multi-year vision, annual training plan, curriculum, and delivery roadmap.
- Lead the design, development, review, approval, and maintenance of compliance training materials, including instructor-led training, e-learning, facilitator guides, communications, and reference resources.
- Establish and oversee an enterprise-wide compliance training governance framework that aligns with regulatory requirements, internal policies, and business priorities.
- Conduct ongoing training needs and skills assessments to identify capability gaps and drive continuous improvement of the training program.
- Partner with Compliance subject matter experts, HR, Legal, and business leaders to define training requirements, target audiences, delivery methods, timing, and curriculum updates.
- Ensure all training content remains accurate, current, and aligned with applicable banking regulations, consumer protection laws, and internal policies.
- Monitor regulatory developments and advise stakeholders on training implications resulting from new or amended regulatory requirements.
- Oversee end-to-end execution of compliance training, including planning, approvals, deployment, completion tracking, issue resolution, and audit readiness.
- Develop and maintain training metrics, dashboards, and executive reporting to monitor program effectiveness, completion rates, regulatory compliance, and operational performance.
- Analyze training data to identify trends, risks, gaps, and opportunities, providing actionable recommendations to senior leadership.
- Identify compliance risks, control weaknesses, and training deficiencies, leading remediation efforts and ensuring timely resolution of issues.
- Provide expert compliance guidance to business partners regarding regulatory requirements, implementation strategies, and compliance risk management.
- Lead or contribute to enterprise and cross-functional initiatives involving regulatory change, governance, training effectiveness, or process improvement.
- Serve as the primary escalation point for training-related issues, ensuring appropriate governance, accountability, and timely resolution.
- Lead, coach, and develop the Compliance Training team, establishing performance expectations and fostering a culture of collaboration, continuous improvement, accountability, and operational excellence.
- Build strong relationships across Compliance, HR, Risk, Audit, Legal, and business functions to influence decisions and drive successful program outcomes.
- Represent the Compliance Training function with senior leadership by communicating program status, emerging risks, key milestones, and strategic recommendations.
- Identify opportunities to improve training processes, technology, reporting, and operational efficiency while supporting a strong culture of compliance and risk management.
The above details are specific to the role which is outlined in the Job Profile Summary below. Please review Desired Skills and Experience below as you consider this opportunity.Job Profile Summary:The Senior Manager - Compliance Training Lead develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance.
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
- Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope
- Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas
- Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.)
- Sets operational team direction and collaborates with others to execute on common goals
- Focuses on longer-range planning for functional area
Education & Experience:- Undergraduate degree or equivalent work experience
- 10+ years of experience
Desired Skills & Experience:- Prior experience in a training function (preferably in the financial services industry)
- Demonstrated experience designing and executing enterprise training programs
- Strong understanding of compliance frameworks and regulatory expectations (e.g., training governance, audit readiness)
- Proven ability to manage complex, cross-functional initiatives with multiple stakeholders
- Experience developing or overseeing training content (e.g., instructor-led, e-learning, communications)
- Advanced Excel and data analytics expertise
- Advanced PowerPoint skills
- Strong analytical skills
- Exceptional attention to detail
- Strong verbal and written communication skills
- Strong organizational skills
- Ability to convey complex information clearly to stakeholders
- Ability to manage multiple priorities and drive outcomes in a highly regulated environment
- Ability to manage projects/assignments independently while collaborating effectively across functional teams.
Customer Accountabilities:- Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners
- Provides strategic direction on a broad and diverse range of complex Compliance program activities
- Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
- Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
- Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture
- Takes corrective action and recommends or implements changes to procedures, as required
- Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities
- Participates in/leads enterprise-wide or Compliance focused special projects
- Oversees research, development and implementation of new processes, technologies or operating models
- Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated
- Primary escalation point for significant matters/exceptions
Shareholder Accountabilities:- Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities
- Protects the interests of the organization - identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
- Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale
- Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness and scale
- Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly
- May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness
- Provides mentorship to direct reports; and assumes responsibility to minimize operational and regulatory risk by complying with Bank Code of Conduct
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
- Maintains knowledge of end-to-end processes and internal/external partners and regulatory requirements
- Provides inputs into the development, implementation, and monitoring of operating plans and expense budgets for the area, consistent with TD Bank strategies and objectives
- Contributes to the development of the business plan and operationalizes the plan and delivers on assigned service or functionality
- Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations
- Understands TDBG issues/parameters and guides others to protect the reputation and interest of TDBG by adhering to operating standards and processes related to Compliance
- Coaches employees to build and enhance their Compliance knowledge and expertise; and assumes responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct
Employee/Team Accountabilities:- Responsible for management of the overall team providing both leadership and guidance
- Contributes to the development of Compliance functional strategic priorities within their operational area or field of specialty
- Develops annual and/or long term plans for own area and influences plans well beyond area managed
- Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer
