Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$115,440 - $186,160 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. 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. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Compliance

Job Description:

Why Work with Us?

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.

Job Description Summary:

The Senior Manager, Compliance Testing oversees and develops team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements.  This role provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group.  Provides assistance/expertise to other Compliance testing teams as appropriate.

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

Responsible for the timely execution of the Compliance testing plan

Typically deals with senior/executive management in communicating Compliance testing results

Leverages deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas through testing engagements

Provides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals cascade to all workers

Guides talent identification and development processes

Key contact for dealing with a range of complex issues, including non-routine information

Manages and prioritizes the team to deliver on multiple reviews and projects at a given time

Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & Experience:

Undergraduate degree or equivalent work experience

10+ years of experience

Desired Skills & Experience

Experience with testing SEC, FINRA, MSRB and state securities regulatory requirements; Regulation 9 (bank fiduciary regulatory requirements); state insurance (annuities and life insurance) regulatory requirements.

Customer Accountabilities:

Manages teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards

Conducts skilled analytical research and analysis as part of the testing engagement and initiatives

Develops, implements, tracks, and reports on Compliance testing schedules

Provides overall strategic direction to support the Compliance Testing Program, Procedures, and processes so that they stay current with established standards and regulatory expectations

Acts as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams for area of specialization

Reports on emerging trends, identifying risks and opportunities, and recommending action to senior management

Understands risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best business practices

Supports relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as needed

Provides functional/business level communications to stakeholders and/or leaders that are consistent, appropriate, and aligned with strategic direction

Shareholder Accountabilities:

Works closely with key business leaders to develop business plan, 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

Maintains extensive knowledge of business units and regulatory requirements/compliance issues within the Compliance area

Provides subject matter expertise, complex analysis and advice to business partners/team and applies knowledge in following up on outcomes, investigating and/or enforcing policy

Identifies and implements opportunities for continuous improvement in the Compliance Testing Program

Leads relationships with business lines/corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements

Supports team and management in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank

Assesses/identifies key issues and escalates to management where required

Supports the facilitation of action/remediation plans as a result of an internal audit and/or regulator review of Compliance Testing Program

Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank

Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/Team Accountabilities:

Responsible for management of the overall team providing both leadership and guidance

Sets targets and objectives for the team, and delivers results

Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered

Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees

Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner

Manages employees in compliance with all human resources policies, procedures and guidelines of conduct

Shares knowledge, information, skills, and subject matter expertise among the team and promotes the timely communication of issues and encourages good working relationships with other functions and teams

Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes

Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives

Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives

Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

Domestic Travel – Occasional

International Travel – Never

Performing sedentary work – Continuous

Performing multiple tasks – Continuous

Operating standard office equipment - Continuous

Responding quickly to sounds – Occasional

Sitting – Continuous

Standing – Occasional

Walking – Occasional

Moving safely in confined spaces – Occasional

Lifting/Carrying (under 25 lbs.) – Occasional

Lifting/Carrying (over 25 lbs.) – Never

Squatting – Occasional

Bending – Occasional

Kneeling – Never

Crawling – Never

Climbing – Never

Reaching overhead – Never

Reaching forward – Occasional

Pushing – Never

Pulling – Never

Twisting – Never

Concentrating for long periods of time – Continuous

Applying common sense to deal with problems involving standardized situations – Continuous

Reading, writing and comprehending instructions – Continuous

Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. 

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.