Compliance Issue Management Governance Manager

Compliance Governance & Operations Manager

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.

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. Beyond technical expertise, we're looking for someone with an entrepreneurial mindsetsomeone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

The Compliance Program Management (CPM) team provides governance and oversight for central elements of the Global Compliance Program, including transformation and technology initiatives. Reporting to the Senior Manager, CPM, the Manager ensures regulatory compliance issues are managed across the enterprise and is responsible for the development of oversight activities that govern and support the identification, assessment, monitoring, and reporting of issues. Key responsibilities include :

• Lead and strengthen the development of governance and control activities to help monitor and track regulatory compliance issues across Compliance.
• Become an eGRC subject matter expert to provide support / assistance to Compliance Units in navigating the Issues Management workflow (i.e., MERLIN).
• Lead the update of the Enterprise Regulatory Compliance Issues Management Procedures to ensure alignment with the Enterprise Issues Management Framework and Issues Management Standard, audit observations, and general best practices.
• Lead the creation and maintenance of job aids, guidance material, process maps, etc. that support issue identification, assessment, remediation, and closure.
• Develop and enhance oversight processes to monitor the health and effectiveness of control environments across business lines.
• Contribute to the development of escalation criteria and reporting thresholds to ensure timely visibility of significant risks and control gaps to senior leaders.
• Conduct deep dives and investigation into reporting results to determine failure in controls and / or repeat offenders.
• Support Regulatory Compliance Management assessment activities in providing analysis into regulatory compliance issues for the Global Chief Compliance Officer Opinion.
• Support communication and training on issues management.
• Support the closure of findings against the Compliance Issues Management Program.
• Support ad hoc transformation changes and projects / tasks as required.

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.

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