Senior Manager, Compliance Business Oversight (US) - Operational, Digital and Process Compliance

Work Location:

Fort Lauderdale, Florida, United States of America

Hours:

40

Pay Details:

$110,760 - $178,880 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.

The Ideal Candidate

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 mindset—someone 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.

U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as described in the U.S. Compliance Operating Framework (COF) including: 

Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activities;  Internal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation oversight;  Foster a culture of integrity, ethics and compliance across the organization to manage and mitigate regulatory compliance and conduct risks;  Contribute to growth, innovation, and efficiency, within risk appetite, through expert objective guidance and independent challenge.

Key responsibilities include:

• Develop, update, and enforce compliance policies and procedures relevant to operational and digital activities, including eSign.
• Identify, assess, and mitigate compliance risks related to all digital and traditional platforms.
• Collaborate with technology teams to evaluate and implement new platforms, ensuring compliance with regulatory requirements.
• Provide guidance in the development of operational frameworks to ensure the business has implemented proper controls to ensure regulatory compliance.
• Ensure compliance for the Digital Advisor platform, ensuring regulatory adherence and integration with core business functions.
• Provide oversight and guidance on compliance requirements specific to Digital Advisor tools and systems.
• Collaborate with product and operations teams to ensure platform aligns with regulatory frameworks and industry standards.
• Monitor and assess the Digital Advisor's impact on client outcomes and operational compliance.
• Monitor and assess vendor and third-party and compliance programs to ensure adherence to company policies and regulatory standards.
• Conduct period reviews, testing, and risk assessments of third-party relationships.
• Support remediation efforts