Compliance Monitoring and Testing

Compliance Governance & Operations Manager

Work Location : Mount Laurel, New Jersey, United States of America Hours : 40 Pay Details : $86,840 - $139,360 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.

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.

Depth & Scope : Highly seasoned professional role requiring substantial knowledge / expertise in a complex field and knowledge of broader related areas. Integrates knowledge of the enterprise sub-function's or business line's overarching strategy in developing solutions across multiple functions or operations. Interprets internal / external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services. Acts as a technical expert / lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists. Leads cross-functional teams or projects with significant resource requirements, risk and / or complexity. Independently manages end-to-end functional programs. Uses sophisticated analytical thought to exercise judgement and identify solutions. Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions. Impacts the achievement of sub-function or business line objectives within the area they are accountable for. Work is guided by policies and industry standards / methods. Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders. Works autonomously as the lead and guides others within area of expertise.

Education & Experience : Undergraduate degree or equivalent work experience. 7+ years of experience. Preferred Background & Experience : CRCM certification preferred. Knowledge and experience with risk management environment, standards, and regulations. Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements. Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems. Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements. Skill in using computer applications including MS Office and Tableau. Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques. Ability to independently identify, assess, and escalate issues requiring senior management attention.

Customer Accountabilities : Works with Compliance partners and other related groups (such as Legal and Risk) 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 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.