Senior Compliance Business Oversight Manager, (U.S.) Corporate Office Compliance

Job Description

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.

The Senior Compliance Business Oversight Manager, U.S. Corporate Office Compliance, is responsible for providing senior-level, independent compliance risk oversight and subject matter expertise for key U.S. Corporate Office Compliance programs and laws, rules, and regulations within the function’s scope, including Regulation O, Regulation W, the Volcker Rule, and related governance, monitoring, reporting, training, issue management, regulatory change, and control oversight activities.

The role supports the effective execution and ongoing enhancement of the Regulatory Compliance Management program for Corporate Office Compliance, including credible challenge of business and control function activities, oversight of applicable Risk Owners and Oversight Functions, and coordination with Legal, Finance, Risk, Corporate Secretary, Third Party Risk Management, Audit, and other stakeholders.

Preferred & Experience

• Bachelor’s degree or progressive work experience in addition to the experience noted below
• 10+ years of related experience in compliance, risk management, legal, audit, regulatory supervision, financial services, corporate governance, or a related discipline
• Certified Regulatory Compliance Manager (CRCM), law degree, regulatory agency experience, audit/exam management experience, or other relevant professional certification preferred
• Strong knowledge of U.S. bank regulatory requirements and compliance risk management expectations applicable to Corporate Office Compliance, including Regulation W and affiliate transaction requirements, Regulation O and insider lending requirements, the Volcker Rule and related covered fund/trading activity restrictions, and related governance, monitoring, training, reporting, issue management, and control expectations
• 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
• Experience supporting or overseeing complex compliance governance programs, including policy and procedure management, business line procedure reviews, control mapping, monitoring plans, management reporting, committee materials, and audit or regulatory examination responses
• Proven ability to evaluate complex business processes, corporate function activities, third-party arrangements, affiliate transactions, insider-related processes, investment or trading-related activities, and governance artifacts to identify compliance considerations and recommend practical, risk-based solutions
• Demonstrated 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
• Solid understanding of technology, data, systems, records, workflows, and operational processes as they relate to compliance controls, monitoring, evidence retention, regulatory reporting, and program oversight
• 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

Education & Experience

• Undergraduate degree or equivalent work experience