Compliance Administration Oversight & Reporting Manager

About the role

The Compliance Business Oversight & Reporting Manager role is responsible for ensuring regulatory adherence and risk management within TD Bank US Compliance. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making.

Responsibilities

• Lead Issue Management and Issue Governance activities for US Wealth Compliance, including issue intake, ownership assignment, monitoring, remediation tracking, escalation, and closure in accordance with enterprise governance standards.
• Serve as the primary liaison between Compliance, business partners, and the Remediation Team to drive accountability, coordinate corrective action plans, and ensure timely resolution of compliance-owned issues.
• Develop and deliver executive-level reporting, metrics, dashboards, and governance updates to provide senior leadership with visibility into issue status, remediation progress, risk trends, and key compliance matters.
• Assist in the development, implementation, and maintenance of compliance policies, procedures, and governance frameworks by identifying policy and control enhancements resulting from issue management activities, remediation efforts, and governance reviews.
• Partner with Operations, Technology, and business teams to identify control gaps, support remediation activities, and implement Compliance process and procedures enhancements arising from Issue Management and Governance activities.
• Serve as a Compliance representative on cross-functional issues management initiatives, committees, governance forums, and strategic projects.
• Provide backup support across US Wealth Compliance functions and participate in additional initiatives as required.

Requirements

Significant experience in Issue Management, Issue Governance, remediation oversight, and regulatory compliance reporting.

Experience managing issue inventories, corrective action plans, issue escalation, and governance routines.

Experience coordinating with Compliance, business partners, and remediation stakeholders to drive accountability and issue resolution.

Experience developing executive-level reporting, dashboards, metrics, and governance materials for senior leadership.

Experience working within an integrated U.S. wealth management and bank subsidiary environment, with knowledge of securities investment management, fiduciary activities, state insurance regulations, and securities regulatory requirements.

Knowledge of compliance, audit, legal and regulatory environments, enterprise governance frameworks, policies, standards, and reporting requirements.

Proficiency with ServiceNow, Archer/Merlin, Salesforce, and Microsoft Office applications, including PowerPoint, Excel, OneDrive, and Teams.

Strong business writing, reporting, and executive communication skills.

FINRA Series 7, 63, and 24 preferred.

Qualifications

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

Skills

• Strategic thinking
• Tactical execution
• Collaborative approach
• Problem-solving
• Communication
• Reporting
• Regulatory compliance

Benefits

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.

Pay

$91,000 - $136,240 USD

Schedule

Full-time