Senior Manager, Regulatory Compliance Risk Assessment (US)

Work Location:

New York, New York, United States of America

Hours:

40

Pay Details:

$ 115,440 - $186,160 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:

Why Work with Us?

At TD Bank Global 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 is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

About the Role :

We are seeking a strategic and analytical Senior Manager to join our Enterprise Regulatory Compliance Management (RCM) Risk Assessment team.

This role is ideal for a candidate with a strong foundation in risk assessment methodologies, advanced data and presentation skills, and experience managing people.

The Senior Manager will play a key role in executing and enhancing the RCM risk assessment program while leading and developing junior team members and helping to evolve risk governance routines.

Key Responsibilities :

Lead and facilitate the enterprise compliance risk assessment, including risk identification, evaluation, scoring, documentation, and reporting.

Manage and coach junior team members, providing regular feedback, supporting professional development, and building subject matter expertise across the team.

Collaborate with business units, risk owners, and control partners to gather, validate, and analyze risk and control data.

Support the review and interpretation of aggregated results and identify methodology deviations, quality deficiencies and potential points of challenge.

Lead challenge sessions with Risk Owners and Oversight Functions on results, and facilitate key strategic discussions with various stakeholders.

Support the enhancement of the risk assessment methodology, tools, and governance framework by identifying improvement opportunities and proposing solutions.

Develop and maintain clear, compelling PowerPoint presentations and executive-level reporting to communicate results and trends.

Leverage Excel and other tools to process and analyze large data sets to inform risk scoring, thematic insights, and dashboards.

Provide strategic input into the design and improvement of risk reporting routines and management-level governance processes.

Act as a thought partner to the AVP, contributing to the team’s roadmap, quality assurance efforts, and alignment with regulatory expectations.

Participate in regulatory reviews, internal audits, and compliance testing as needed.

***The above details are specific to the role which is outlined in the general description below. Please review Preferred skills & experience below as you consider this opportunity.

The Senior Manager, Compliance Governance & Operations leads, develops and oversees a dynamic team of Compliance CGO professionals who conduct support, facilitation and coordination for the management of Compliance. They may also provide specialized project support or services within Compliance.

Depth & Scope:

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

Oversees and leads a highly complex, and diverse function for an area of significant risk, complexity or scope

Strategic partner to the leadership team on the management of the assigned portfolio and related financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas

Facilitates key strategic discussions and provides thought leadership to executive audience (output may include strategic roadmap and/or deliverables/frameworks/short to long term goals, etc.)

Sets operational team direction and collaborates with others to execute on common goals

Focuses on longer-range planning for functional area

Education & Experience:

Undergraduate degree or equivalent work experience

10+ years of experience

Preferred Skills:

Minimum of 8-10 years of experience in compliance, risk management, internal audit, or related fields, with demonstrated leadership or team management experience.

Strong knowledge of enterprise risk assessment frameworks, including risk taxonomy, inherent/residual risk scoring, control evaluation, and aggregation.

Advanced Excel skills (e.g., pivot tables, formulas, data wrangling) and PowerPoint skills (e.g., building executive-ready decks and visual storytelling).

Ability to think strategically and proactively identify opportunities to streamline or enhance risk processes and governance.

Experience mentoring or managing team members and driving individual performance and development.

Strong communication skills, with the ability to tailor content and messaging to various audiences, including senior management.

Highly organized, detail-oriented, and able to manage multiple priorities in a dynamic environme nt.

Bachelor’s degree in Business, Finance, Risk, or a related field.

Experience using GRC platforms or risk assessment tools (e.g., Archer, MetricStream, etc.) (a plus).

Familiarity with financial services or other highly regulated industries(a plus).

Data visualization skills (e.g., Power BI, Tableau) (a plus).

Customer Accountabilities:

Oversees a function of enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners

Provides strategic direction on a broad and diverse range of complex Compliance program activities

Develops Compliance enterprise-wide frameworks, policies, standards, procedures in coordination with management in line with TD's Compliance Program

Works with executive team, senior business management/partners to develop proactive strategies, tactics, policies and programs to effectively manage regulatory/compliance issues

Meets with business (Compliance) partners and leaders to determine Compliance strategies and compliance culture

Takes corrective action and recommends or implements changes to procedures, as required

Lead role in managing and in responding to periodic exams/audits and various regulatory bodies related to CGO accountabilities

Participates in/leads enterprise-wide or Compliance focused special projects

Oversees research, development and implementation of new processes, technologies or operating models

Works autonomously as the leader of the team and assists with development of group policies and approval of procedures in coordination with leadership team and colleagues; and promotes and monitors staff adherence to approved internal Compliance policies, procedures, standards and guidelines, in addition to those federally mandated

Primary escalation point for significant matters/exceptions

Shareholder Accountabilit