TD · 10 hours ago
Compliance Risk Assessment Manager
New York, NY
Full-time
Onsite
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 Risk Assessment Manager to support the U.S. Compliance Risk Assessment lead in managing and facilitating compliance risk assessments. The role involves ensuring regulatory compliance risks are identified and assessed, while also contributing to the development of a future-focused compliance program.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Supports the U.S. Compliance Risk Assessment lead with managing and facilitating the U.S. Compliance Risk Assessment and reports up into the U.S. Head of Compliance Programs
Supports the management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in scope laws/regulations as they pertain to respective businesses and across legal entities
Supports the facilitation of the Compliance Risk Assessment and manages the assessment process, including ensuring timely and quality completion of the assessment through the lifecycle stages
Provides subject matter expertise and leadership to Oversight Functions and other assessment participants and serve as single point of contact for stakeholders on assessment methodology, guidance, and applicable leading practices
Where necessary, support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans
Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge
Support program reporting analytics and insights in collaboration with the Compliance Data Analytics and Insights team
Assist with continuous enhancements to the target state design and methodology of the Compliance Risk Assessment framework
Possesses strong functional knowledge of U.S. banking regulations (e.g., Federal Reserve) as well as banking products and services. Additionally, a risk management / internal control mindset to apply and assess risk identification / mitigation is essential
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years of experience
Minimum of 7 years of prior regulatory, compliance, and/or risk management experience
Strong knowledge of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses
Excellent written, verbal and analytical skills
Highly motivated, strong attention to detail, team oriented, organized
Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior level
Ability to work collaboratively with cross functional partners across the three lines of defense
Ability to navigate a complex organization
Demonstrates advanced proficiency in desktop tools including, but not limited to, Microsoft Office Suite
Preferred
Familiarity with conducting a Compliance Risk Assessment preferred
Experience working with top tier banks in large scale, cross-functional regulatory remediation
Familiarity with developing and implementing regulatory compliance risk management frameworks and programs, including Compliance Risk Assessment and regulatory controls management
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
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