FreshRemote.Work

Senior Manager- US Compliance Regulatory Inventory

Remote Greenville (SC), United States

Work Location:

Greenville, South Carolina, United States of America

Hours:

40

Pay Details:

$110,760 - $178,880 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 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 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.

The U.S. Compliance Regulatory Change Office (USCRCO) manages regulatory changes and maintains the U.S. regulatory inventory. This role ensures compliance with regulatory requirements and effective change management.

Key responsibilities of the role include:

  • Assist in Development and maintenance of federal and state regulatory inventories.  
  • Review and assess regulatory changes to determine impact to the regulatory inventory.
  • Collaborate with U.S. compliance teams to maintain and document updates.
  • Support the development and implementation of the U.S. State Law Regulatory Inventory.
  • Conduct data quality reviews. 
  • Report on regulatory inventory status, metrics, and issues.

Please review the preferred background and experience section below in as you consider this opportunity.

The above details are specific to the role which is outlined in the general description below.

Job Summary

The Senior Manager, Compliance manages assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. The Senior Manager, Compliance Interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Senior Manager Compliance employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The job manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. Supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.

Depth & Scope:

  • Oversees projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company
  • Interacts with management at most senior level
  • Analyzes and reports performance information to develop internal processes to identify and manage compliance risks
  • Oversees and encourages process improvement efforts within and across department team
  • Reviews trend analyses of RIMS, Implementation, and self monitoring reports for assigned teams to ensure department standards are met
  • Approves expense reports for assigned group and assists CCO with budget planning
  • Participates in bank acquisition due diligence efforts, as assigned
  • Speaks at relevant conference forums
  • Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management
  • Oversees the performance of specialized programming tasks requiring technical proficiency in such areas as database programming languages, process automation, and HTML programming
  • Serves as senior project manager for the development, testing, and implementation of new department databases and major database enhancements
  • Manages the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations
  • Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations
  • Serves as final approver of RIMS and implementation documentation (except BLMs)
  • Manages the development of appropriate policies and procedures to provide for compliance with the most critical laws and regulations having a significant impact on the operations or strategy of the Company
  • Reviews conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger

Education & Experience:

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

Desired Skills and Knowledge:

  • JD and/or CRCM certification
  • In-depth knowledge of financial services, regulatory and risk industry practices. 
  • Experience developing/maintaining regulatory inventories.
  • In-depth knowledge of regulatory compliance.
  • Ability to compare new and proposed rules to existing rules to pinpoint potential challenges and succinctly describe the impact of any regulatory changes. 
  • Demonstrated ability to develop and maintain productive business relationships with internal/external partners. 
  • Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions. 
  • Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams. 
  • Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels. 
  • Experience with Cube and/or Archer platform a plus
     

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

  • 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. 

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the 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 application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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Job Profile

Regions

North America

Countries

United States

Restrictions

Must be located in Greenville, SC

Benefits/Perks

Banking benefits and discounts Career development Equitable compensation Equitable compensation opportunities Growth Opportunities Health and well-being benefits Incentive awards Innovation Mentorship Paid Time Off Retirement programs Reward and recognition Savings and retirement programs Skill development Training programs

Tasks
  • Assess regulatory changes
  • Collaborate with compliance teams
  • Conduct data quality reviews
  • Develop regulatory inventories
  • Ensure compliance
  • Manage compliance risks
  • Process Improvement
  • Provide training
  • Report on inventory status
  • Support state law inventory
  • Training and onboarding
Skills

Analytical Automation Banking Budget planning Change Management Coaching Collaboration Compliance Customer Experience Data Quality Data quality review Documentation Entrepreneurial Mindset Excel Financial Services Innovation Leadership Mentoring Mentorship Monitoring Organizational Process Improvement Programming Programming languages Regulatory Compliance Regulatory management Risk Management Strategic planning Strategy Tactical Execution Technical Expertise Testing Training Training Programs Writing

Education

Degree Equivalent Equivalent work experience Undergraduate Undergraduate Degree

Certifications

CRCM

Timezones

America/Anchorage America/Chicago America/Denver America/Los_Angeles America/New_York Pacific/Honolulu UTC-10 UTC-5 UTC-6 UTC-7 UTC-8 UTC-9