Compliance Governance & Operations Manager (US) - Management Reporting

Compliance Governance & Operations Manager

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 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 mindset—someone 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.

TD Bank is seeking a Manager to assist with preparing executive content for senior management and board reports to compliance and risk stakeholders. Key reports include an annual CCO report, quarterly board reports, and periodic reports to enterprise risk. The role requires analytical skills, excellent business writing skills, and strong executive communication skills to interact with senior compliance and risk stakeholders.

Key responsibilities include:

• Draft content for board reporting, with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation.
• Ability to synthesize and aggregate large quantities of data into multiple senior management and executive reports, streamline content, and maintain consistency between reports.
• Coordinate across multiple stakeholders and effectively challenge the quality of compliance and risk data insights.
• Conduct training to Compliance Units on drafting insights on regulatory risks, high and overdue issues, and other compliance metrics.
• Provide support as needed on other compliance reporting including risk dashboards and risk frameworks.
• Make sure latest regulatory expectations and supervisory feedback are incorporated into compliance reporting.

Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.

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
• Integrates knowledge of the enterprise sub-function's or business line's overarching strategy in developing solutions across multiple functions or operations
• Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
• Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
• Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
• Independently manages end-to-end functional programs
• Uses sophisticated analytical thought to exercise judgement and identify solutions
• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
• Impacts the achievement of sub-function or business line objectives within the area they are accountable for
• Work is guided by policies and industry standards/methods
• Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
• Works autonomously as the lead and guides others within area of expertise

Education & experience:

• Undergraduate degree or equivalent work experience
• 7+ years of experience

Preferred skills:

• Minimum of 8 years of experience in Compliance, Risk Management, Audit, or a related compliance role.
• Strong executive writing skills for senior audiences focused on messaging, clarity, and precision.
• Proficiency in Microsoft Office Suite - especially Microsoft PowerPoint, Excel, Word, and Visio.
• Strong stakeholder management skills across different Compliance groups to drive high-quality and accurate reporting insights.
• Strong analytical and communication skills with the ability to escalate and articulate risks to senior leadership.
• Exceptional attention to detail, organizational skills, and critical thinking skills.
• Familiarity with data visualization tools including PowerBI and Tableau a plus

Customer accountabilities:

• Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by external regulatory bodies and TD internal groups
• Leads development of team procedures and governance processes and advises the Compliance stakeholders and teams of changes and enhancements to enterprise Compliance programs and requirements and where they may impact in the organization
• Provides governance oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related Compliance Sub-Committees)
• Assists Compliance team members in the use of Issues and Events system for tracking and reporting
• Prepares summaries, presentations, briefing notes, and any other required documentation to effectively report on the status of the Compliance program
• Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change Management initiative, as required
• Delivers relevant subject matter expertise and Compliance advice to business Compliance partners
• Interacts with control functions within the organization
• Conducts meaningful research, analysis, and assessment of Compliance program activities at the functional level using results to draw conclusions, make recommendations, assess the effectiveness of enterprise Compliance programs
• Participates in/manages regulatory examinations and external/internal audits with respect to request for information regarding CGO portfolio; reviewing, packaging and providing information for department executive

Shareholder accountabilities:

• Adheres to enterprise frameworks and methodologies that relate to activities for our business area
• Makes sure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities
• Consistently exercises discretion in managing correspondence, information and all matters of confidentiality; escalates issues where appropriate
• Manages business operations to be in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
• Participates in cross-functional/enterprise/initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
• Conducts internal and external research projects; supports the development/delivery of presentations/communications to management or broader audience
• Conducts meaningful analysis at the functional or enterprise level using results to draw conclusions, makes recommendations, assesses the effectiveness of programs/policies/practices
• Monitors service, productivity and assesses efficiency levels within own function and implements continuous process/performance improvements where opportunities exists
• Leads/facilitates and/or implements actions/remediation plans to address performance/risk/governance issues
• Actively manages relationships within and across various business lines, corporate and/or control functions and manages alignment with enterprise and/or regulatory requirements
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts
• Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite

Employee/team accountabilities:

• Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/points of interest
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