Head of US Compliance Programs

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$200,000 - $280,000 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:

This role leads and acts as business program owner and foremost subject matter expert in the development and implementation of compliance programs, including design, development, deployment, monitoring, reporting, and resolution.

Depth & Scope:

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Executes on U.S. Initiatives in accordance with the TD Global Compliance Department Mandate and the Regulatory Compliance Management Program

• Owns Road to Strong for U.S. Compliance, responsible for Road to Strong Roadmap, delivery of Road to Strong Program with oversight over all workstreams and responsibility for related reporting

• Owns remediation programs and activities for Compliance programs

• Facilitates the support of strategy for the Compliance team by supporting the design and implementation of stakeholder engagement plans, programs and projects to support strategic Compliance objectives 

• Works closely with the Regulatory Change team within Compliance on interpreting the impact and advising management of current and emerging regulatory and compliance issues, industry or market developments to ensure that anticipated and regulatory changes are considered in business activities and strategic plans

• Leads the strategy and long-term enablement and capabilities planning for Compliance programs by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions

• Leads strategic program initiatives to continuously improve Compliance enablement and capabilities

• Accountable for U.S. Compliance engagement with the eGRC program and delivery governance, Compliance advice and input into eGRC related frameworks, policies, processes and procedures

• With Compliance and Risk partners promotes a strong governance & control environment with periodic assessments against industry practices

Education & Experience:

• Bachelor's degree required

• 10+ years related experience required

• In-depth knowledge of financial services, regulatory and risk industry practices

• Strong management experience leading regulatory compliance and risk activities

• Strong Management skills in the development and mentoring of employees

• Experience establishing and implementing effective regulatory and risk strategies, policies and plans that support ongoing Company business

• Ability to analyze complex organizational and process issues to isolate regulatory risk exposure

• Demonstrated ability to develop and maintain productive business relationships with internal/external partners

• Effective negotiation and influencing skills with experience in conveying complex information to general audiences through training materials, written communications and other means

• Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions

• Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams

• Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional

• International Travel – Never

• Performing sed