Manager, Compliance Program Effectiveness Governance )

Compliance Operations and Infrastructure Development:

Oversee the development, design, implementation and continuous improvement of the global Compliance Management Program throughout the development lifecycle from initial conception to implementation

Program Effectiveness Assessment:

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 that 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

Recognize that risk management and compliance are about preparation and prevention, as much as response and recovery

Hands-on Execution:

Roll up your sleeves to handle day-today compliance tasks while building scalable processes

Produce quality work products independently and collectively with team members

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

Undergraduate degree or equivalent work experience

7+ years of experience

Must Have a deep background and knowledge of RCSA, Program Assessments, someone who has led a successful development, enhancement, and/or scaling up of a RCSA.

Minimum 7+ years of compliance risk management, enterprise risk management, operational risk management, or audit experience within a regulated financial service or FinTech environment

Deep understanding of Risk Control Self-Assessment, Control Testing frameworks, risk assurance methodologies, and regulatory expectations.

Advance proficiency with GRC platforms (preferably ServiceNow and Archer) and experience managing risk data lifecycle activities

Strong writing, presentation, and documentation skills with an ability to translate technical findings into actionable business insights

Consistently delivers high-quality and timely work with attention to detail and a strong sense of ownership and accountability

Experience with business transformation, regulatory remediation, or change management initiatives as a result of strategic, regulatory, risk-related, technological, or operational evolutions

Is intellectually curious, learns and adapts to the business, provides insight, solutions as well as information

Demonstrated ability to think critically, strategically, analytically and to creatively problem solve

Strong leadership skills with a proven track record in driving positive and sustained change

Excellent verbal and writing skills

High sense of ownership, adaptability, flexibility, and comfortable with ambiguity

Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations

Ability to work in a diverse and inclusive workspace

Ability to work in a team dynamic

Proficient in Word, Excel, PowerPoint, Outlook, Teams, Microsoft Office Suite, Visio, and Power BI

Master's degree in business administration (MBA), Project Management, Engineering Management, or a related field (a plus)

Certification in risk management or financial analysis (FRM, PMI-RMP, CFA, etc.) (a plus)

Prior consulting experience in Compliance Advisory, Risk Management, or Audit (a plus)

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

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

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

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