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TD · 1 month ago

Compliance Monitoring and Testing

New York, New York

Full-time

Hybrid

Mid, Senior Level

$91K/yr - $146K/yr

7+ years exp

TD Bank is one of the world's leading global financial institutions, and they are seeking a Compliance Monitoring and Testing Manager to lead the development and implementation of enterprise Compliance programs. The role involves managing day-to-day operations, designing a future-focused compliance program, and ensuring alignment with compliance leadership objectives.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Lead strategic planning efforts and support U.S. Compliance Monitoring and Testing 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 U. S. Compliance Monitoring and Testing Programs and influence execution in collaboration with vertical leads

Work 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

Lead 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

Qualification

Compliance knowledgeRisk management experienceCRCM certificationAnalytical skillsMS Office proficiencyTableau proficiencyTeam collaborationCommunication skillsProblem-solving skillsAttention to detail

Required

Undergraduate degree or equivalent work experience

7+ years of experience

High level of compliance knowledge with consumer related laws and regulations

Ability to work both individually and as a team

Strong analytical skills

Attention to detail

Preferred

CRCM certification preferred

Knowledge and experience with risk management environment, standards, and regulations

Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements

Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems

Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements

Skill in using computer applications including MS Office and Tableau

Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques

Ability to independently identify, assess, and escalate issues requiring senior management attention