Senior Compliance Business Oversight Manager (US)

Senior Compliance Business Oversight Manager

Reporting to the Head of Compliance, Regulatory Inventory and Regulatory Change, the Senior Manager is responsible for the governance and oversight of the Global Regulatory Inventory and Regulatory Change Program, including the supporting technology and processes. The incumbent will work with internal partners, including Oversight Functions (designated Regulatory Compliance Management (RCM) accountability for areas of laws, rules, and regulations (LRRs)), Risk Owners (own and operate controls to mitigate LRR risk), and Technology, and with external partners at a third-party regulatory content provider.

The main focus of the role will be to serve as the Global Regulatory Inventory and Regulatory Change team's lead representative responsible for integrating the third-party regulatory content provider into daily compliance and risk management activities, leveraging the third-party's regulatory intelligence to strengthen compliance oversight of applicable laws, rules, and regulations, streamline regulatory change management, and embed regulatory insights into business-as-usual processes at TD.

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Department Mandate, Framework and Standards. This includes independently assessing the adequacy, adherence and effectiveness of regulatory compliance management programs and controls in the business. The department also delivers objective guidance and independent challenge to the business, proactively managing regulatory change and providing trusted and reliable reporting, advice and opinion to senior leadership and the Board on the state of regulatory compliance risks, controls, and outcomes.

This is an exciting opportunity for individuals with expertise in the field of compliance, governance, risk, and controls. Specific accountabilities include the following :

• Act as the central liaison between TD and the third-party provider, ensuring seamless integration of regulatory content into compliance, risk, and governance routines.
• Develop workflows and processes to operationalize outputs from the third-party provider, ensuring regulatory intelligence is embedded into daily regulatory change management and regulatory inventory maintenance activities, enabling accurate risk mitigation, control development, monitoring routines, and risk assessments.
• Partner with Regulatory Change Leads and other Risk partners to review, triage, and distribute regulatory updates.
• Ensure regulatory changes are mapped to impacted businesses for appropriate applicability and impact assessments.
• Serve as the primary escalation point for third-party provider issues, updates, and enhancements.
• Provide training and guidance to stakeholders on how to use and implement third-party regulatory data within TD platforms and applications.
• Maintain reporting on third-party provider usage, adoption, and impact on reducing manual horizon scanning and research efforts.
• Identify opportunities to optimize automation and efficiency through deeper integration of the third-party provider into TD's internal processes, applications, and compliance data.
• Establish a strong working relationship with TD Technology team and third-party data provider to collaborate on activities for regulatory change feeds.
• Develop and communicate enterprise governance and oversight related to TD's use of content from the third-party provider.
• Perform user acceptance testing of enhancements to TD's internal applications and third-party provider tool.
• Support testing engagements from Internal Audit, Compliance Quality Assurance, and others.

Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.

The role requires significant in-depth and / or breadth of expertise in a complex field and knowledge of broader related areas. 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.

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.

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