Senior Compliance Business Oversight Manager - Corporate Office Compliance Programs

Job Description

At TD Bank US Compliance, the Senior Compliance Business Oversight Manager, U.S. Corporate Office Compliance, plays a key role in reshaping compliance structures and processes. This role supports the design, implementation, execution, and continuous enhancement of the Regulatory Compliance Management Program.

Desired Skills & Experience

• Certified Regulatory Compliance Manager (CRCM), law degree, regulatory agency experience, audit/exam management experience, or other relevant professional certification preferred.
• Demonstrated experience providing independent compliance oversight, regulatory advice, and credible challenge to senior business leaders, Risk Owners, Oversight Functions, corporate functions, and control partners.
• Experience leading or contributing to Compliance Risk Management program activities, including regulatory inventory and control mapping, regulatory change management, compliance risk assessments, program effectiveness assessments, monitoring, issue management, training, governance reporting, and control oversight.
• Strong understanding of second-line oversight expectations, including the ability to assess program design, challenge control effectiveness, identify regulatory compliance risk, document rationale, and escalate issues appropriately.
• Demonstrated ability to evaluate complex business processes, corporate function activities, third-party arrangements, insider-related processes, and governance artifacts to identify compliance considerations and recommend practical, risk-based solutions.
• Proven ability to develop and maintain productive relationships with Legal, Finance, Treasury, Risk, Corporate Secretary, Third Party Risk Management, Audit, Regulatory Relations, Operations, Technology, business partners, senior management, and regulators.
• Strong organizational, analytical, judgment, and execution skills, with the ability to manage multiple priorities, lead complex workstreams, support regulatory or audit deliverables, and drive timely resolution of issues.
• Effective influencing, negotiation, and stakeholder management skills, including the ability to operate successfully in a matrixed environment and provide clear challenge while maintaining constructive relationships.
• Excellent written and verbal communication skills, including the ability to prepare executive-ready materials, regulatory or audit responses, governance reporting, and clear explanations of complex regulatory concepts.

Customer Accountabilities

• Proactively advises the business of new and changed Compliance regulatory and/or policy changes.
• Formulates relevant and meaningful data analysis, leveraging advanced modeling and analytics, and leads on the interpretation of complex business issues, generating multifaceted insights and identifying opportunities to address business regulatory requirements and issues.
• Contributes to the development and implementation of Compliance programs.
• Guides partner through the development, implementation, oversight and management of effective Compliance Programs.
• Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of Compliance.
• Represents Compliance on internal or external committees relating to designated business activities as required.
• Delivers relevant subject matter expertise and Compliance advice to business management.
• Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices.
• Maintains oversight (via review and approval) of all functions and accountabilities related to management reporting and analysis.
• Manages high risk initiatives and escalations; leads initiatives/guidance as appropriate.

Shareholder Accountabilities

• Actively assists in developing and overseeing implementation of business line policies and Compliance Team procedures.
• Oversees respective programs/policies/practices are well managed, meet business needs, comply with internal and external requirements, and align with business priorities.
• Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate.
• Promotes the prompt and thorough resolution of escalated non-standard, high risk issues.
• Supports the development/delivery of presentations/communications to management or broader audience.
• Actively manages relationships within and across various business lines, corporate and/or control functions and promotes alignment with enterprise and/or regulatory requirements.
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts.
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite.