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TD · 1 day ago

US Compliance Senior Transformation Manager

Charlotte, NC

Full-time

Onsite

Senior Level, Lead/Staff, Director/Executive

$115K/yr - $186K/yr

10+ years exp

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. The US Compliance Senior Transformation Manager supports the overall coordination of US regulatory remediation including oversight over all workstreams and responsibility for related reporting, focusing on driving innovation and compliance culture within the organization.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Supports the Transformation program head in tracking and assessing both short-term tactical and longer-term strategic initiatives to continuously improve Compliance remediation, enablement and capabilities

Leads and supports, in collaboration with the Head, US Compliance Transformation other Compliance leaders, opportunities to align strategic planning, enablement, and productivity initiatives across the Compliance ecosystem

Drives Compliance accountabilities for the Compliance remediations for both regulatory commitments and commitments arising from Compliance's program self-assessment

Leads fostering innovation and change ready culture within Compliance

Will not directly manage a team but will support the management of a team of Compliance professionals

Provides people management leadership by hiring the appropriate and qualified 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 Compliance function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project/initiative success and achieve business results

Maintains highly specialized expertise and in-depth knowledge to manage Compliance programs for multiple, significant complex businesses, functional areas and/or global business lines

Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise

Manages and oversees the overall discipline and strategy for the Compliance area while aligning to the enterprise best practices

Position typically deals with senior/executive management

Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information

Focuses on longer-range planning for functional area (e.g. 12 months or greater)

May manage and prioritize multiple projects at a given time

Acts as highest point of team escalation for resolution and provides direction to resolve issues or escalate

Leads, coaches and manages a high performing team on delivery of Compliance programs

Determines and decides policy and/or action based on internal and external industry developments for Compliance Programs

Proactively reviews and advises the business of new and changed Compliance regulatory and/or policy changes

Contributes to the development and implementation of Compliance programs related to all aspects of Compliance laws

Works with executive team, senior business unit management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory compliance requirements

Ensures team collaboration with partners on business problems/issues and provides fact-based analytical advice that aligns to strategy and addresses business regulatory requirements and issues

Reviews and/or contributes on the development and presentation of analysis and insights back to executive leaders/business partners to drive strategic improvements and address regulatory requirements and issues

Engages with business partners and business leaders to determine and implement Compliance strategies and directs the compliance culture

Provides insight, guidance, and recommendation on Compliance subject matter, regulatory and industry issues and acts as a specialized resource to other departments based on subject matter expertise

Provides explanation and/or resolution for business/Compliance management based findings

Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate

Manages day to day operations of the department and participates in enterprise wide projects

Advises on day-to-day Compliance matters affecting the business including, but not limited to, customer identification and due diligence, enhanced due diligence, training and compliance testing

Delivers relevant subject matter expertise and Compliance advice to business management

Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis

Actively assists in developing and overseeing implementation of business line policies and Compliance procedures, policies, and standards

Works closely with leaders to develop and operationalize the business plan and deliver on Compliance programs across the enterprise

Plans and executes on strategic activities, reviews and communicates results, and adjusts priorities accordingly

Proactively identifies key business opportunities, researches and recommends enhancements/modifications, develops strategies to achieve recommendations and works closely with team to execute and implement

Understands TDBG issues/parameters and guides others to protect the reputation and interest of TD by adhering to operating standards and processes related to Compliance

Coordinates and supports team and business Compliance related activities as necessary

Partners with the governance & assurance function to develop various training and awareness programs

Provides oversight on enterprise wide annual risk assessment process as required

Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk transactions/activities as necessary

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

Oversees that employees are building and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and Code of Conduct

Responsible for management of the overall team providing both leadership and guidance

Sets targets/objectives for the team, and delivers results

Contributes to the development of business line and/or enterprise functional strategic priorities within their operational area or field of specialty

Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered

Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees

Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner

Provides thought leadership and/or industry knowledge and participates in knowledge transfer within the team and business

Manages employees in compliance with all human resources policies, procedures and guidelines

Shares knowledge, information, skills, and subject matter expertise among the team and promotes 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 promote 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 encourages the team to achieve common goals and objectives

Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Qualification

Compliance regulationsRisk managementProject managementCRCM certificationMS Office proficiencyStrategic thinkingTeam leadershipCommunication skills

Required

Undergraduate degree or equivalent work experience

10+ years of experience

Strong skills in compliance regulations, strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations

Highly skilled in using computer applications including MS Office, with a focus on PowerPoint

Highest personal and professional integrity and standards to advance TD's vision and protect the brand

Strategic thinker: has excellent judgment, achieves the right risk/reward balance

Delivers on objectives, focuses on what matters and can work across silos to build effective working relationships

Transparent communicator and respected TD representative, both internally and externally

Clear, concise communicator with superior written communication skills