US Compliance - Regulatory Issue Management Manager

Overview

Work Location:

Charlotte, Caroline du Nord, États-Unis d'Amérique

Hours:

40

Pay Details: $91,000 - $145,600 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  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:
Conformité

Job Description:

Department Overview and Why Work with Us

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. 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 is about creating a culture of compliance that will cascade throughout the organization.

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. You will be strategic, tactical, collaborative and creative in your approach, managing day-to-day operations while helping design and implement a forward-thinking compliance program for the future. A entrepreneurial mindset is preferred—someone who can “roll up their sleeves”, takes the initiative and can anticipate needs before they arise.

Comfort 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. The right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. TD Bank offers the opportunity to shape the future of the bank while collaborating with colleagues dedicated to setting new industry standards.

The US Compliance – Regulatory Issue Management Manager is responsible for:

• Managing the identification, assessment, control, and monitoring of escalated U.S. Compliance risks through the regulatory issue management process.
• Managing the governance, reporting insights, oversight and follow through to ensure identified issues receive appropriate management, remediation and corrective action.
• Working with lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks.
• Ensuring timely completion of impact assessment and root cause analysis and adherence to program standards for identified regulatory issues.
• Recognizing opportunities to implement key risk management practices and procedures in the normal course of business operations.
• Engaging in high-level discussions of compliance risks to line of business stakeholders and understands key risk concepts and their relevance to core business practices.

Note: The above details are specific to the role which is outlined in the general job profile below. Please review the Desired Skills and Experience below as you consider this opportunity.

The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs, including frameworks, policies, standards and development of procedures, awareness and specialized training, monitoring, reporting and information, escalation of issues and events.

Depth & Scope

• Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
• Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve…