TD

Manager, Compliance Program Governance

TD

full-time

Posted on:

Origin:  • 🇺🇸 United States • New York, North Carolina

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Salary

💰 $119,600 - $178,880 per year

Job Level

SeniorLead

Tech Stack

ServiceNow

About the role

  • Design operational risk management plans and the annual compliance strategic plan
  • Develop document retention solutions; create and maintain inventories, libraries, and archival systems
  • Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
  • Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
  • Drive and support the implementation of enterprise-wide transformation projects
  • Perform staffing skills assessments and determine departmental resource gaps
  • Develop and maintain a Roles and Responsibilities matrix
  • Take ownership of Compliance Governance Documentation
  • Reviewing, editing, drafting, and maintaining relevant policies and procedures; ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
  • Lead the development of a structured approach to policy management to ensure clarity and consistency
  • Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
  • Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
  • Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
  • Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
  • Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
  • Lead and draft responses to inquiries from regulators and respond to internal audit findings
  • Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
  • Strong Project management skills to ensure timelines and deadlines are met
  • Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences, The ability to work in a team environment

Requirements

  • Undergraduate degree or equivalent work experience
  • 7+ years of experience in governance, or risk management within the financial services or FinTech industry
  • Prior experience drafting responses and preparing evidence packages for regulators and internal audit
  • Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
  • Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
  • Advanced proficiency with GRC platforms (preferably ServiceNow and Archer)
  • Demonstrated project management skills and ability to manage end-to-end functional programs
  • Ability to work in a diverse and inclusive workspace and collaborate across large organizations
  • Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite