Compliance Manager – Monitoring- Regulatory Compliance, Complaint Oversight, Vendor Oversight

About the role

This role supports Compliance Monitoring for delivery channels such as Digital Banking, Marketing, and Contact Centers. It involves executing monitoring, conducting regulatory research, supporting and providing objective guidance to assigned portfolio, business or function.

Responsibilities

• Execute and enhance the Bank's monitoring program, completing targeted regulatory compliance reviews, complaint monitoring reviews, and vendor monitoring.
• Manage and/or perform independent compliance reviews of regulatory requirements impacting the products and/or channels supported.
• Conduct regulatory research.
• Provide guidance, make recommendations, and collaborate with businesses to facilitate compliant solutions that meet the business needs on a complex project or program.
• Completing individual detailed analysis and workpapers, as well as the associated reporting, follow-up, and discussion/presentation to Executive Management.
• Largely focused on the on-going monitoring of consumer business lines.

Requirements

• Previous experience with regulatory compliance for delivery channels such as Digital Banking, Marketing, and Contact Centers is a must.
• Previous audit, monitoring, or testing experience.
• Subject Matter Expertise in Consumer Compliance regulations as they pertain to delivering bank products and services including Digital, Marketing, and Contact Centers.
• Broad understanding of consumer banking compliance rules, laws, and regulations.
• Deep knowledge and experience interpreting and applying consumer banking laws, rules, and regulations.
• Experience with third-party oversight a plus.

Qualifications

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

Skills

• Ability to execute and enhance the Bank's monitoring program.
• Experience with regulatory compliance for delivery channels such as Digital Banking, Marketing, and Contact Centers.
• Subject Matter Expertise in Consumer Compliance regulations as they pertain to delivering bank products and services including Digital, Marketing, and Contact Centers.
• Broad understanding of consumer banking compliance rules, laws, and regulations.
• Deep knowledge and experience interpreting and applying consumer banking laws, rules, and regulations.
• Experience with third-party oversight.

Benefits

Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role.

Pay

$91,000 - $145,600 USD

Schedule

Hours 40