US Compliance Regulatory Inventory Senior Group Manager

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$141,960 - $230,880 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:

Department Overview:

The U.S. Compliance Regulatory Change Office (USCRCO) manages regulatory changes and maintains the U.S. regulatory inventory. This role ensures compliance with regulatory requirements and effective change management.

Key responsibilities of the role include:

• Developing and overseeing the federal and state regulatory inventories and governance processes.
• Collaborating with U.S. Compliance teams to maintain and document updates.
• Collaborating with the Global teams as appropriate to maintain adherence to standards and on technology enablement initiatives.
• Managing regulatory content vendor relationships and establish the U.S. Laws, Rules, and Regulations (LRR) citation structure in the GRC tool.
• Conducting data quality reviews.
• Leading management meetings.
• Reporting on regulatory inventory status, metrics, and issues; and assisting in drafting inventory standards.

Please review the Preferred Background & Experience section below in further considering this opportunity.

The above details are specific to the role which is outlined in the general summary below.

Job Summary:

The Senior Compliance Group Manager oversees assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. This job manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company. The job interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Senior Compliance Group Manager employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Senior Compliance Group Manager manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. This job participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings. The Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.

Depth & Scope:

• Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company
• Oversees the development of internal processes to identify and manage compliance risks
• Leads department strategic planning process to achieve goals
• Manages the review of trend analyses of RIMS, Implementation, and self monitoring reports for assigned teams to ensure department standards are met
• Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management
• Directs the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming
• Oversees the testing and implementation of new department databases and major database enhancements
• Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations
• Represents Department or Chairs various Company Committees to address activities that are impacte