Director - Compliance Manager, Transformation Program Management

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$180,000 - $225,000 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.

Job Description:

Preferred Qualifications:

The Compliance Transformation team is focused on strengthening how TDS Compliance delivers against its most critical regulatory, remediation, technology, and control priorities. The team provides the structure, governance, and execution discipline needed to move complex initiatives from strategy to implementation, ensuring commitments are clearly defined, risks are actively managed, progress is transparent, and outcomes are aligned to regulatory expectations and business needs.

This Director, Compliance Transformation Program Manager plays a central part in that mandate by serving as the program management and execution lead for TDS Compliance’s transformation portfolio. It helps connect Compliance strategy to delivery by maintaining an integrated view of priorities, tracking remediation commitments, coordinating technology investment planning, challenging project owners on execution readiness, and producing senior-level reporting. In practice, the role ensures that high-priority initiatives are not managed in silos, but are coordinated, measurable, and delivered with the right level of accountability, transparency, and control focus.

Depth & Scope:

• •Lead program management for TDS Compliance initiatives, ensuring strong governance, disciplined execution, and timely delivery of strategic, regulatory, remediation, and control-related priorities.
• •Maintain an integrated portfolio view of remediation commitments, including regulatory, audit, self-identified, and management-driven initiatives, to support oversight and senior management reporting.
• •Oversee remediation execution, including milestone tracking, dependency management, risk and issue identification, escalation, and support for resolving blockers or scope changes.
• •Provide informed challenge to project owners and workstream leads by applying both project management discipline and practical Compliance knowledge across regulatory expectations, controls, surveillance, monitoring, governance, and remediation.
• •Drive transparency and accountability across the Compliance change portfolio by ensuring initiatives are clearly scoped, appropriately resourced, measurable, and aligned to business, regulatory, and Compliance priorities.
• •Develop executive-ready reporting for senior Compliance leadership, including dashboards, milestone updates, risk and issue summaries, budget impacts, dependency tracking, and forward-looking delivery views.
• •Coordinate the annual TDS Compliance technology budget process, including intake of technology requests, prioritization, business case development, investment tracking, and alignment of funding to risk mitigation and Compliance value.
• •Partner across Compliance, Technology, 1A/1B, Risk, Legal, Operations, and other stakeholders to translate Compliance priorities into executable plans and deliverables.
• •Monitor portfolio health and identify emerging risks, including delivery challenges, resource constraints, budget pressures, and control implications.
• •Improve execution practices across TDS Compliance by standardizing templates, strengthening governance routines, enhancing reporting, improving dependency management, and reducing fragmented or manual processes.

Education & Experience:

• •15+ years of progressive experience in Compliance, Risk, Regulatory, Audit, Controls, Program Management, or Transformation roles within a global financial services, capital markets, broker-dealer, or similarly complex regulated environment.
• •Demonstrated experience leading large-scale transformation, remediation, regulatory response, control enhancement, or operating model change programs with senior leadership visibility and cross-functional dependencies.
• •Strong understanding of Compliance operating models, regulatory expectations, 2nd Line of Defense responsibilities, risk management frameworks, control design, issue management, surveillance, monitoring, testing, governance, and remediation execution.
• •Proven ability to translate complex Compliance, regulatory, audit, or control priorities into structured execution plans, milestones, deliverables, governance routines, progress reporting, and escalation mechanisms.
• •Experience managing or supporting regulatory, audit, self-identified, or management-driven remediation initiatives, including milestone validation, dependency tracking, risk and issue management, readiness assessment, and closure discipline.
• •Strong program governance and portfolio management capabilities, including the ability to manage multiple high-priority initiatives concurrently, maintain an integrated view of execution health, and identify emerging delivery, resource, budget, or control risks.
• •Experience developing executive-ready materials, including portfolio dashboards, steering committee updates, senior management briefings, milestone reporting, risk and issue summaries, decision papers, and budget or investment narratives.
• •Experience with technology-enabled transformation, including intake and prioritization of technology demand, business case development, budget planning, investment tracking, workflow design, automation, data, reporting, or tooling enhancements.
• •Bachelor’s degree required; advanced degree or relevant professional certification preferred, such as MBA, JD, CPA, CAMS, CRCM, PMP, PMI-ACP, Lean Six Sigma, or other Compliance, Risk, Project Management, or Change Management designation.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

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• Additional Information:
• We’re delighted that you’re considering building a career with TD. Through regular development conversations,