TD Securities · 9 hours ago
Manager, Compliance Culture (US)
New York, NY
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Manager, Compliance Culture to enhance and sustain a mature culture of compliance. This role involves designing and implementing initiatives that embed regulatory compliance values across the enterprise, while leading efforts to operationalize cultural maturity and ensure strong oversight and control.
BankingFinanceFinancial Services
Responsibilities
Lead the development and execution of strategies that reinforce a strong compliance culture aligned with the Global Compliance Program’s objectives
Promote integrity, accountability, and effective risk management behaviors across all levels of the organization
Design and implement measurable standards and processes for self-assessment and continuous monitoring of compliance culture maturity and effectiveness across Global Compliance
Identify gaps, trends, and opportunities for proactive improvement
Support the establishment of clear roles, accountability, and governance structures to strengthen compliance ownership
Develop and drive a comprehensive communication strategy with culture partners such as H.R., Risk Management, Compliance Academy, and other key stakeholders to ensure consistent messaging around the desired compliance culture
Engage stakeholders across Compliance and the business to promote shared cultural values and drive behavioral change
Own the development and continuous refresh of the Culture Report
Based on the output of the Culture Report and other key drivers establish processes for formal reflection and feedback loops to promote adaptive learning and continuous program enhancement
Serve as a key contributor to the design and evolution of compliance culture initiatives, training, behavioral reinforcement tools and other key culture drivers
Lead the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events
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
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years of experience
Preferred
3+ years of experience in regulatory compliance, risk management, culture transformation, or organizational change in the financial services industry
Deep understanding of compliance frameworks, risk culture principles, and regulatory expectations (including OSFI Guideline E-13, FRB SR0808, and OCC Heightened Standards)
Demonstrated success leading cross-functional initiatives focused on behavioral change, compliance culture, or ethics programs
Strong project management, facilitation, and communication skills, with the ability to influence at all levels
Strong communication skills that drive engagement and action
Proven ability to think strategically and execute tactically in a complex, fast-paced environment
Bachelor's degree required; advanced degree or certifications (e.g., CRCM, CCEP) preferred
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
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
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