Compliance Administration Oversight & Reporting Manager
3 days ago
Charlotte
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 mindsetsomeone 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. Job Summary The Compliance Administration Oversight & Reporting Manager ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role. Education & Experience • Undergraduate degree or equivalent work experience, • 7+ years of experience Preferred Background & Experience • Significant experience in Issue Management, Issue Governance, remediation oversight, and regulatory compliance reporting., • Experience managing issue inventories, corrective action plans, issue escalation, and governance routines., • Experience coordinating with Compliance, business partners, and remediation stakeholders to drive accountability and issue resolution., • Experience developing executive-level reporting, dashboards, metrics, and governance materials for senior leadership., • Experience working within an integrated U.S. wealth management and bank subsidiary environment, with knowledge of securities investment management, fiduciary activities, state insurance regulations, and securities regulatory requirements., • Knowledge of compliance, audit, legal and regulatory environments, enterprise governance frameworks, policies, standards, and reporting requirements., • Proficiency with ServiceNow, Archer/Merlin, Salesforce, and Microsoft Office applications, including PowerPoint, Excel, OneDrive, and Teams., • Strong business writing, reporting, and executive communication skills., • FINRA Series 7, 63, and 24 preferred. Physical Requirements • Domestic Travel Occasional, • International Travel Never, • Performing sedentary work Continuous, • Performing multiple tasks Continuous, • Operating standard office equipment - Continuous, • Responding quickly to sounds Occasional, • Sitting Continuous, • Standing Occasional, • Walking Occasional, • Moving safely in confined spaces Occasional, • Lifting/Carrying (under 25 lbs.) Occasional, • Lifting/Carrying (over 25 lbs.) Never, • Squatting Occasional, • Bending Occasional, • Kneeling Never, • Crawling Never, • Climbing Never, • Reaching overhead Never, • Reaching forward Occasional, • Pushing Never, • Pulling Never, • Twisting Never, • Concentrating for long periods of time Continuous, • Applying common sense to deal with problems involving standardized situations Continuous, • Reading, writing and comprehending instructions Continuous, • Adding, subtracting, multiplying and dividing Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. Who We Are: TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best. Training & Onboarding We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. Interview Process We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.