TD

Manager, Compliance Program Effectiveness and Governance

TD

full-time

Posted on:

Origin:  • 🇺🇸 United States • New York

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Salary

💰 $119,600 - $178,880 per year

Job Level

SeniorLead

Tech Stack

ServiceNowTableau

About the role

  • Oversee development, design, implementation and continuous improvement of the global Compliance Management Program throughout the development lifecycle from initial conception to implementation
  • Lead the Planning, execution, and evolution of TD's global compliance Program Effectiveness Assessment
  • Serve as the lead liaison with first-line business risk owners and compliance oversight functions
  • Support the assessment of first-line risk owners' alignment with compliance requirements to ensure systems, products, services, and practices comply with enterprise policies, standards, procedures, and applicable regulations
  • Drive the development and implementation of risk metrics and indicators (KRIs/KPIs)
  • Provide assurance and validation of first-line compliance program effectiveness, including methodology alignment, policy and procedure adherence, issue tracking accuracy, and control coverage adequacy, and advise on improvements based on assessment outcomes and findings
  • Maintain detailed testing results, evidence, and outcomes in GRC platform
  • Develop and produce data-driven dashboards and risk reporting materials using tools such as Power BI, Tableau, and Excel for use in senior management and Board-level governance forums
  • Support and contribute to global ORM / ERM initiatives, sharing insights, across jurisdictions and aligning local execution with global ERM program strategy
  • Cross-Functional Collaboration: Partner with and build trust with key business partners and act as a trusted resource
  • Work closely with compliance, risk, operations, and technology teams to implement new workflows, processes, and procedures that align with compliance objectives
  • Collaborate with TD's vertical and horizontal functions to address risk and compliance issues
  • Consult with key stakeholders on solutions based on good internal models and advice
  • Hands-on Execution: Roll up your sleeves to handle day-today compliance tasks while building scalable processes

Requirements

  • Undergraduate degree or equivalent work experience
  • 7+ years of experience in compliance risk management, enterprise risk management, operational risk management, or audit within regulated financial service or FinTech environment
  • Deep understanding of Risk Control Self-Assessments, Control Testing frameworks, risk assurance methodologies, and regulatory expectations
  • Advanced proficiency with GRC platforms (preferably ServiceNow and Archer)
  • Strong writing, presentation, and documentation skills
  • Experience with business transformation, regulatory remediation, or change management initiatives
  • Intellectual curiosity, learns and adapts to the business, provides insight and solutions
  • Demonstrated leadership skills with a track record of driving change
  • Excellent verbal and writing skills
  • Ability to work in a diverse and inclusive workspace; collaborate across large organizations
  • Proficient in Word, Excel, PowerPoint, Outlook, Teams, Visio, and Power BI
  • MBA, Project Management, Engineering Management, or related fields are a plus
  • Certification in risk management or financial analysis (FRM, PMI-RMP, CFA) (a plus)
  • Prior consulting experience in Compliance Advisory, Risk Management, or Audit (a plus)