Compliance Risk Assessment Manager

Compliance Risk Assessment Manager supporting compliance risk management for TD Bank. Managing assessments, frameworks, and collaborating with security operations teams.

Posted 6/19/2026full-timeCharlotte • Maine, New Jersey, New York, North Carolina, South Carolina • 🇺🇸 United StatesSeniorLead💰 $91,000 - $145,600 per yearWebsite

About the role

Key responsibilities & impact

Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment and reports up into the U.S. Head of Compliance Programs
Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
Provides subject matter expertise and leadership to Oversight Functions and other assessment participants and serve as single point of contact for stakeholders on assessment methodology, guidance, and applicable leading practices
Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
Possesses strong functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential.

Requirements

What you’ll need

Undergraduate degree or equivalent work experience
7+ years of experience
Minimum of 7 years of prior regulatory, compliance, and/or risk management experience
Familiarity with conducting a Compliance Risk Assessment preferred
Experience working with top tier banks in large scale, cross-functional regulatory remediation
Familiarity with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment and regulatory controls management
Strong knowledge of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
Excellent written, verbal and analytical skills
Highly motivated, strong attention to detail, team oriented, organized
Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level
Ability to work collaboratively with cross functional partners across the three lines of defense
Ability to navigate a complex organization
Demonstrates advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite.

Benefits

Comp & perks

Health insurance
Retirement plans
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Career development
Reward and recognition

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

regulatory compliancerisk managementCompliance Risk Assessmentregulatory controls managementrisk identificationrisk mitigationdata analyticsmethodology developmentinternal controlsbanking regulations

Soft Skills

analytical skillsattention to detailteam orientedorganizational skillsinterpersonal skillspresentation skillscommunication skillsinfluencing skillscollaborationproblem-solving