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Compliance Governance & Operations Manager (US)

Compliance Governance & Operations Manager (US)

Charlotte StaffingCharlotte, NC, US
1 day ago
Job type
  • Full-time
Job description

Compliance Governance & Operations Manager

We are seeking a strategic and analytical Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team. This role is ideal for a candidate with a strong foundation in risk assessment methodologies, advanced data and presentation skills, and experience managing people. The Manager will play a key role in executing and enhancing the RCM risk assessment program while leading and developing junior team members and helping to evolve risk governance routines.

Key Responsibilities :

  • Lead portions of the enterprise compliance risk assessment, including risk identification, evaluation, scoring, documentation, and reporting.
  • Manage and coach junior team members, providing regular feedback, supporting professional development, and building subject matter expertise across the team.
  • Collaborate with business units, risk owners, and control partners to gather, validate, and analyze risk and control data.
  • Support the enhancement of the risk assessment methodology, tools, and governance framework by identifying improvement opportunities and proposing solutions.
  • Develop and maintain clear, compelling PowerPoint presentations and executive-level reporting to communicate results and trends.
  • Leverage Excel and other tools to process and analyze large data sets to inform risk scoring, thematic insights, and dashboards.
  • Provide strategic input into the design and improvement of risk reporting routines and management-level governance processes.
  • Act as a thought partner to the Senior Manager, contributing to the team's roadmap, quality assurance efforts, and alignment with regulatory expectations.
  • Participate in regulatory reviews, internal audits, and compliance testing as needed.

Job Summary :

The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.

Education & Experience :

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

    • Preferred Qualifications :

  • Must have a consultant background, experienced project manager, can be my right hand in the program build and enhancement of CP and help lead the implementation of those enhancements
  • Bachelor's degree in Business, Finance, Risk, or a related field.
  • Experience using GRC platforms or risk assessment tools (e.g., Archer, MetricStream, etc.).
  • Familiarity with financial services or other highly regulated industries.
  • Data visualization skills (e.g., Power BI, Tableau) are a plus.
  • 5+ years of experience in compliance, risk management, internal audit, or related fields, with demonstrated leadership or team management experience.
  • Strong knowledge of enterprise risk assessment frameworks, including risk taxonomy, inherent / residual risk scoring, control evaluation, and aggregation.
  • Advanced Excel skills (e.g., pivot tables, formulas, data wrangling) and PowerPoint skills (e.g., building executive-ready decks and visual storytelling).
  • Ability to think strategically and proactively identify opportunities to streamline or enhance risk processes and governance.
  • Experience mentoring or managing team members and driving individual performance and development.
  • Strong communication skills, with the ability to tailor content and messaging to various audiences, including senior management.
  • Highly organized, detail-oriented, and able to manage multiple priorities in a dynamic environment.

    • Customer Accountabilities :

  • Works with Compliance partners and other related groups to support creation of documentation and reports required by external regulatory bodies and TD internal groups.
  • Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization.
  • Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees).
  • Assists Compliance team members in the use of Issues and Events system for tracking and reporting.
  • Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program.
  • Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required.
  • Delivers relevant subject matter expertise and Compliance advice to business Compliance partners.
  • Interacts with control functions within the organization.
  • Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs.
  • Participates in / manages regulatory examinations and external / internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive.

    • Shareholder Accountabilities :

  • Adheres to enterprise frameworks and methodologies that relate to activities for our business area.
  • Makes sure respective programs / policies / practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities.
  • Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate.
  • Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets).
  • Participates in cross-functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations.
  • Conducts internal and external research projects; supports the development / delivery of presentations / communications to management or broader audience.
  • Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs / policies / practices.
  • Monitors service, productivity and assesses efficiency levels within own function and implements continuous process / performance improvements where opportunities exists.
  • Leads / facilitates and / or implements actions / remediation plans to address performance / risk / governance issues.
  • Actively manages relationships within and across various business lines, corporate and / or control functions and manages 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.

    • Employee / Team Accountabilities :

  • Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues / points of interest.
  • Supports the team by continuously enhancing knowledge / expertise in own area and participates in knowledge transfer within the team and business unit.
  • Keeps current on emerging trends / developments and grows knowledge of the business, related tools and techniques.
  • Participates in personal performance management and development activities, including cross training within own team.
  • Keeps others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities.
  • Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and / or guidance as appropriate.
  • Contributes to a fair, positive and equitable environment that supports a diverse workforce.
  • 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
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    Operation Manager • Charlotte, NC, US

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