Senior Compliance Group Manager - Fair Banking Compliance

Work Location:

New York, New York, United States of America

Hours:

40

Pay Details:

$148,720 - $240,240 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.

Department Overview

Reporting to the Director of Fair Banking Compliance, the role for a Senior Compliance Group Manager - Fair Banking Compliance is a high-level strategic design position that is expected to act with a level of authority, autonomy and experience to direct internal team members and/or business line management regarding enterprise compliance activities and mitigating fair banking compliance risk. The type of compliance experience required is in addition to the knowledge of traditional "technical" regulation support and CMS expectations. This role is heavily focused on governance activities, meeting deadlines, and supports several areas across the fair banking compliance team and initiatives owned by other Directors.

The above details are specific to the role which is outlined in the Job summary below. Please review Desired Skills and Experience as you are considering this role.

Job Summary:

The Senior Compliance Group Manager oversees assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. This job manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company. The job interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Senior Compliance Group Manager employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Senior Compliance Group Manager manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. This job participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings. The Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.

Depth & Scope:

• Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company

• Oversees the development of internal processes to identify and manage compliance risks

• Leads department strategic planning process to achieve goals

• Manages the review of trend analyses of RIMS, Implementation, and self monitoring reports for assigned teams to ensure department standards are met

• Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management

• Directs the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming

• Oversees the testing and implementation of new department databases and major database enhancements

• Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations

• Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations

• Final approver of RIMS and implementation documentation (except BLMs)

• Directs the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger

• Coordinates budget planning with CCO

• Speaks at relevant conference forums

• Appoints designee to bank acquisition due diligence efforts

• Oversees the development of staff to support departmental succession planning

Education & Experience:

• Undergraduate degree or equivalent work experience

• 10+ years of experience

Desired Skills & Experience:

• 10+ years of compliance experience within a GSIB, large financial institution, or regulatory environment

• Prior fair banking experience and integration with the Compliance Management System

• Strong understanding of FRB and OCC regulations and their application across diverse businesses and products

• Proven people leader with experience building, developing, and retaining high-performing teams through effective performance management

• Demonstrated ability to foster a strong compliance risk culture and role-model expected risk behaviors

• Experience setting strategic direction, leading complex functions, and collaborating to execute common goals

• Ability to facilitate strategic discussions and provide clear, concise thought leadership to executive audiences

• CRCM preferred

• JD preferred

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 View email address on click.appcast.io . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.