Director, Compliance Technology - Risk & Controls

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Technology Solutions

Pay Detail:

200000 - 235000 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 Description:

Preferred Qualifications

Summary:

The Director, Compliance Technology – Risk & Controls is a senior leadership role accountable for strengthening the control environment across Compliance Technology platforms, leading audit and regulatory remediation efforts, driving technical currency and sustainability remediation, and providing disciplined financial oversight across the product group.  This role partners closely with Compliance, Internal Audit, Risk, Finance, and Engineering leadership to ensure technology solutions are defensible, resilient, and aligned with regulatory expectations, while maintaining transparency and accountability across multi‑year remediation programs.

Responsibilities:

Risk & Control Ownership

• Establish and maintain a robust technology risk and control framework aligned to enterprise risk standards, compliance obligations, and regulatory expectations.
• Serve as the primary technology owner for control design, effectiveness, testing support, and issue management across Compliance Technology platforms.
• Ensure controls are sustainable, automated where possible, and embedded into SDLC and operational processes rather than point-in-time fixes.
• Provide clear, consistent executive‑level reporting on control health, material risks, and emerging issues.

Audit & Regulatory Remediation Leadership

• Lead end‑to‑end audit, regulatory, and risk remediation efforts, including issue intake, root cause analysis, design of remediation solutions, execution tracking, and validation readiness.
• Act as the senior technology point of contact for Internal Audit, regulators, and independent reviews, ensuring responses are accurate, timely, and defensible.
• Drive reduction of repeat and thematic findings by addressing systemic gaps and control weaknesses.
• Own remediation governance, milestones, dependency management, and escalation.

Technical Currency & Sustainability Remediation

• Lead technical currency remediation initiatives, including platform modernization, architectural debt reduction, resiliency improvements, and control‑enabling enhancements.
• Ensure remediation solutions improve long‑term operability, observability, and auditability, not just regulatory closure.
• Partner with architecture and engineering leads to prioritize remediation work alongside product delivery roadmaps.

Program Financial Management

• Own financial governance across remediation and control‑driven initiatives, including budget planning, tracking, forecasting, and variance explanations.
• Ensure clear separation and traceability between run vs. change spend, capitalizable vs. non‑capitalizable costs, and remediation‑driven investment.
• Provide transparent, executive‑ready financial reporting to senior technology and Compliance leadership.
• Support business cases and funding requests tied to regulatory findings and control gaps.

Leadership & Stakeholder Management

• Provide strong leadership across globally distributed technology teams, driving accountability, delivery discipline, and control‑first engineering culture.
• Partner closely with Compliance, Risk, Finance, Audit, and Product leadership to align remediation priorities and execution plans.
• Act as a trusted advisor to senior leadership on technology risk posture, remediation progress, and residual risk acceptance.

Required Qualifications:

• 12+ years of experience in technology leadership roles, preferably within Compliance, Risk, Surveillance, or regulatory‑driven environments.
• Strong background in technology risk management, controls, and audit remediation within financial services.