Senior Manager, Compliance Governance & Operations (US) – Compliance Program Management, Strategic Development and Initiatives

Job description

**Work Location:**

New York, New York, United States of America

**Hours:**

40

**Pay Details:**

$110,760 - $178,880 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues.

Growth opportunities and skill development are defining features of the colleague experience at TD.

Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role.

The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

**Line of Business:**

Compliance
**Job Description:**

**Why Work with Us?**

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function.

As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level.

Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program.

This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

**The Ideal Candidate:**

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile.

In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach.

You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can roll up their sleeves, takes the initiative and can anticipate needs before they arise.

A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up.

At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

management areas, broader organization, and enterprise as appropriate.

**We are seeking a dynamic and forward-thinking Senior Manager to lead the strategic development and initiative planning for the Compliance Program Management team.

This role will serve as a critical advisor to the Head of Compliance Program Management (AVP) and be responsible for shaping the strategic roadmap, developing business routines, and coordinating compliance program-wide initiatives.

The ideal candidate is a highly motivated self-starter who excels at big-picture thinking, thrives in fast-paced environments, and has a strong grasp of compliance operations.**

**This role will not have direct reports but will partner closely with other senior managers who lead functional verticals (e.g., compliance training, issues management, risk assessment, third-party oversight) and act as a subject matter expert and strategic resource to drive executional excellence and program evolution.**

**Key Responsibilities:**

**Strategic Development & Business Planning:**

+ Lead strategic planning efforts and support the Head of Compliance Program Management in defining the long-term vision, priorities, and success measures for the program.
+ Develop management routines, operating frameworks, and program governance models to ensure consistent execution and alignment with compliance leadership objectives.
+ Identify and assess opportunities for continuous improvement across Compliance Programs and influence execution in collaboration with vertical leads.

**Program Oversight & Reporting:**

+ Build and maintain management reporting cadences and templates (e.g., dashboards, executive updates, CSET materials) aligned with the expectations of the AVP of Compliance Program Management and the VP of Compliance Programs.
+ Serve as a key liaison between the Compliance Program Management team and other enterprise risk and compliance stakeholders.
+ Coordinate cross-functional initiatives and provide thought leadership on evolving regulatory expectations and best practices in program management across Compliance Program Management.

**Internal Advisory & Subject Matter Expertise:**

+ Act as a strategic advisor and SME to Compliance Program Management vertical leads, providing guidance on process enhancements, interdependencies, and alignment with broader compliance goals.
+ Collaborate on enterprise risk initiatives that require a compliance **lens, ensur** ing the voice of the program is represented in enterprise-wide transformations.

**Operational Leadership**

+ Support the AVP of Compliance Program Management with business management needs including budget oversight, resource planning, communication strategies, and execution tracking.
+ Lead ad hoc projects and initiatives on behalf of the compliance leadership team as assigned.

The above details are specific to the role which is outlined in the general description below.

**Job Summary:**

The Senior Manager, Compliance Governance & Operations leads, 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 Qualifications:**

+ **Bachelor's degree in business, Finance, Risk Management, or related field.**
+ **Minimum of 8-10 years of experience in compliance, risk, or business operations within financial services or a similarly regulated industry.**
+ **Proven experience in strategy development, program governance, or enterprise risk/compliance program execution.**
+ **Strong understanding of compliance program pillars (training, issues management, risk assessment, third-party risk, etc.)** **Exceptional analytical, communication, and presentation skills; able to tailor messaging for executive audiences.**
+ **Demonstrated ability to lead without authority and influence across all levels of the organization.**
+ **Highly proficient in Microsoft PowerPoint, Excel, and Word.**
+ **Master’s degree or professional certification (e.g., CRCM, CAMS, PMP) preferred.**
+ **Familiarity with regulatory expectations tied to enterprise compliance programs, governance, and risk frameworks.**
+ **Experience with management reporting/reporting routines (excluding Board reporting), regulatory exams, or senior-level stakeholder management.**
+ **Strong project management skills with the ability to manage competing priorities and deadlines.**
+ **Comfortable operating in a fast-paced, matrixed environment with evolving priorities.**

**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 within the team and business unit
+ Grows team expertise to align with Compliance/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
+ Creates and fosters a cohesive team, and promotes a positive work environment.

Leads and follows up on action plans to improve employee experience
+ Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
+ Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
+ Shares knowledge, information, skills, and subject matter expertise among the team and ensures the timely communication of issues and encourages good working relationships with other functions and teams
+ Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
+ Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
+ Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives
+ Acts as a brand ambassador for business area/function and the bank, both internally and/or externally

**Physical Requirements:**

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

+ 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

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.

They are not intended to be an exhaustive list of all responsibilities, duties and skills required.

The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

#LI-AMCBCorporate

**Who We Are:**
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores.

Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world.

More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals.

As an organization, we keep growing – and so will you.

**Our Total Rewards Package**

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.

Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

Learn more (http://hrportal.ehr.com/tdtotalrewards)

**Additional Information:**
We’re delighted that you’re considering building a career with TD.

Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

**Colleague Development**
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed.

You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

**Interview Process**
We’ll reach out to candidates of interest to schedule an interview.

We do our best to communicate outcomes to all applicants by email or phone call.

**Accommodation**

TD Bank is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com .

Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

Required Skill Profession

Other General