Head of Compliance Program Management

Increase your chances of an interview by reading the following overview of this role before making an application.

Work Location : United States of America

Hours : 40

Pay Details : $160,000 - $220,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions.

The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs.

Line of Business : Compliance

Job Description :

Department Overview :

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework.

The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

Job Details :

The Head of Compliance Program Management reports to the TDBG VP, Compliance Programs.

Individual Accountabilities :

The Head of Compliance Program Management will execute this mandate in accordance with the key RCM Program elements and processes established in the Enterprise RCM Framework, and is accountable to :

• Adhere to, coordinate and supervise the responsibilities included in the Global Compliance Department Mandate and the Legal, Regulatory Compliance (LRC) Risk Management Framework.
• Lead and maintain the RCM Program Framework to promote and foster a strong culture of integrity, ethics and regulatory compliance and provide independent oversight of the adherence to the RCM Program and regulatory compliance.
• Lead the RCM Program communications and stakeholder engagement through Governance (leadership meetings) and communications.
• Has ownership of and responsibility for the review process of updating the Enterprise RCM Framework at least annually, as well as review and update the RCM Standards at least annually.
• Oversee documentation that CGA develops which applies to the Compliance Department globally, as appropriate, clearly communicates the accountabilities and responsibilities required to oversee regulatory compliance risk.
• Oversee that the relevant Global Compliance Department strategic initiatives and directives are carried out effectively and that those strategic initiatives and directives comply with all relevant regulatory requirements, standards and expectations, as well as internal compliance policies established by the Board.
• Oversee the RCM Training and Compliance Academy learning strategy.
• Lead RCM Risk Assessment Methodology and execution of the Risk Assessment on behalf of Compliance and CCO.
• Support Compliance team members by maintaining and continually enhancing the Compliance Academy to support better business engagement by Compliance staff at all levels to improve compliance risk mitigation and outcomes, increase Compliance staff job satisfaction, and in living our Shared Commitments.
• Support Compliance course owners with regards to scoping, planning, creating, delivering, updating or retiring of mandatory compliance training segments owned by Compliance.
• Support enterprise Learning & Development Enterprise Mandatory Training Program in its delivery of content to Compliance learners or enterprise staff taking Compliance-owned trainings.

Job Requirements :

• University degree required : Post Graduate degree preferred
• 10+ years of relevant industry and management experience
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in the advisory, policy, change management, project management and operations
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand
• Strong verbal and written communication skills, including public speaking / presentation skills and well developed listening and negotiation skills
• Ability to work in a fast-paced environment and manage multiple priorities
• People leadership and management experience focused on talent development and coaching to nurture a high performing team
• Ability to operate in an evolving, sometimes ambiguous, matrixed environment.
• Strategic thinker; has excellent judgment, achieves the right risk / reward balance
• Demonstrates ability delivering 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
• Models TD's executive leadership profile : skilled leader, high confidence, low ego, inspiring to professionals, operates through influence, motivates and developments leadership teams
• Advances TD's leadership development, colleague experience & diversity agenda
• Possesses an advanced level of financial and strategic acumen to provide insight on strategy development and execute effectively on a broad range of key business management activities
• Strong relationship building and negotiation skills and the ability to interact with sensitivity and leadership to advance and influence the culture Compliance aims to promote
• Demonstrates strong problem solving & analytical skills, including the ability to comprehend a situation by breaking it down into its components and identifying underlying issues
• Expertise in working effectively in ambiguity with all levels of colleagues and executives to enhance the colleague experience
• Exhibits confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with business and senior management at all levels

Who We Are :

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores.

Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world.

More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support.

We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing.

As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking.

Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential.

Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals.

As an organization, we keep growing and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.

Total Rewards at TD includes base salary and variable compensation / incentive awards (e.g., eligibility for cash and / or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more

Additional Information :

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.

com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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