Senior Manager, Compliance Governance & Operations (US) Compliance Program Management, Strategic Development and Initiatives - TD Bank : Job Details

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization.

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

We are seeking a dynamic and forward-thinking Senior Manager to lead the strategic development and initiative planning for the Compliance Program Management team. This role will serve as a critical advisor to the Head of Compliance Program Management (AVP) and be responsible for shaping the strategic roadmap, developing business routines, and coordinating compliance program-wide initiatives. The ideal candidate is a highly motivated self-starter who excels at big-picture thinking, thrives in fast-paced environments, and has a strong grasp of compliance operations.

This role will not have direct reports but will partner closely with other senior managers who lead functional verticals (e.g., compliance training, issues management, risk assessment, third-party oversight) and act as a subject matter expert and strategic resource to drive executional excellence and program evolution.

Key Responsibilities:

• Lead strategic planning efforts and support the Head of Compliance Program Management 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 Compliance Programs and influence execution in collaboration with vertical leads.

Program Oversight & Reporting:

• Build and maintain management reporting cadences and templates (e.g., dashboards, executive updates, CSET materials) aligned with the expectations of the AVP of Compliance Program Management and the VP of Compliance Programs.
• Serve as a key liaison between the Compliance Program Management team and other enterprise risk and compliance stakeholders.
• Coordinate cross-functional initiatives and provide thought leadership on evolving regulatory expectations and best practices in program management across Compliance Program Management.

Internal Advisory & Subject Matter Expertise:

• Act as a strategic advisor and SME to Compliance Program Management vertical leads, providing guidance on process enhancements, interdependencies, and alignment with broader compliance goals.
• Collaborate on enterprise risk initiatives that require a compliance lens, ensuring the voice of the program is represented in enterprise-wide transformations.

Operational Leadership:

• Support the AVP of Compliance Program Management with business management needs including budget oversight, resource planning, communication strategies, and execution tracking.
• Lead ad hoc projects and initiatives on behalf of the compliance leadership team as assigned.

Job Summary:

The Senior Manager, Compliance Governance & Operations leads, develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance.

Depth & Scope:

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope
• Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management/enterprise areas
• Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.)
• Sets operational team direction and collaborates with others to execute on common goals
• Focuses on longer-range planning for functional area

Education & Experience:

• Undergraduate degree or equivalent work experience
• 10+ years of experience

Desired Qualifications:

• Bachelor's degree in business, Finance, Risk Management, or related field.
• Minimum of 8-10 years of experience in compliance, risk, or business operations within financial services or a similarly regulated industry.
• Proven experience in strategy development, program governance, or enterprise risk/compliance program execution.
• Strong understanding of compliance program pillars (training, issues management, risk assessment, third-party risk, etc.) Exceptional analytical, communication, and presentation skills; able to tailor messaging for executive audiences.
• Demonstrated ability to lead without authority and influence across all levels of the organization.
• Highly proficient in Microsoft PowerPoint, Excel, and Word.
• Master's degree or professional certification (e.g., CRCM, CAMS, PMP) preferred.
• Familiarity with regulatory expectations tied to enterprise compliance programs, governance, and risk frameworks.
• Experience with management reporting/reporting routines (excluding Board reporting), regulatory exams, or senior-level stakeholder management.
• Strong project management skills with the ability to manage competing priorities and deadlines.
• Comfortable operating in a fast-paced, matrixed environment with evolving priorities.

Customer Accountabilities:

• Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners
• Provides strategic direction on a broad and diverse range of complex Compliance program activities
• Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program
• Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues
• Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture
• Takes corrective action and recommends or implements changes to procedures, as required
• Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities
• Participates in/leads enterprise-wide or Compliance focused special projects
• Oversees research, development and implementation of new processes, technologies or operating models
• Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated
• Primary escalation point for significant matters/exceptions

Shareholder Accountabilities:

• Leads the team to adhere to enterprise frameworks and methodologies related to overall business management activities
• Protects the interests of the organization identifies and manages risks, and promotes the prompt and thorough resolution of escalated non-standard, high risk issues
• Works closely with executive management team to support the development of CGO group's business plan, ensuring the optimal use of resources and leverage TD's operating model to maximize efficiency, effectiveness and scale
• Works closely with key business leaders to develop CGO's and Compliance 's business plans, ensuring the optimal use of resources and leverages TD's operating model to maximize efficiency, effectiveness and scale
• Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly
• May manage overall budget, revenue and expenditures, meets business objectives while increasing efficiency and effectiveness