TD · 5 hours ago
Compliance Monitoring and Testing
Mount Laurel, NJ
Full-time
Hybrid
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD is one of the world's leading global financial institutions, and they are seeking a Compliance Monitoring and Testing Manager. The role involves leading the development and implementation of enterprise compliance programs, ensuring governance, oversight, and support for compliance monitoring and testing initiatives.
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
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
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
Qualification
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
Benefits
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
Reward and recognition
Company
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2026-01-24
2026-01-24
Company data provided by crunchbase