Compliance Manager - Data Support & Monitoring

at TD Bank in

Portland, Maine, United States Job Description Work Location:

Charlotte, North Carolina, United States of America Hours:

40

Pay Details:

$91,000 - $145, 600 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 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 Compliance Manager - Data Support & Monitoring is responsible for enabling compliance monitoring and testing activities through strong data governance, analytics, and operational reporting support. This role leads the collection, validation, and maintenance of compliance-related data; conducts data quality and integrity checks; and resolves data issues to ensure accurate, complete, and timely inputs for annual risk assessments, test execution, issue management, and management reporting. The role partners closely with Compliance Monitoring & Testing, technology teams, and business stakeholders to ensure data used for risk assessment, test planning, issue tracking, and reporting is reliable, defensible, and audit-ready.

Depth & Scope:

+ Works independently and be accountable for acting as a lead in executing engagements and provides work direction to others on those engagements + Considered subject matter expert in Compliance testing methodologies + Provides subject matter expertise and/or guidance to various stakeholders and team members + Advanced knowledge of external competition, industry and/or market trends in relation to own function/business + Scope of role may have enterprise impact + Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise + Independently performs concurrent multiple reviews and related tasks from end to end + May act as highest point of team escalation for resolution and provides direction to resolve issues or escalates

Education & Experience:

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

Preferred Skills:

+ Demonstrated experience supporting compliance, risk, audit, or monitoring programs through data analysis and reporting + Experience working with compliance metrics and large datasets, including data validation, reconciliation, and exception analysis + Advanced proficiency in Excel (pivot tables, complex formulas, data validation, Power Query); BI tool experience preferred + Familiarity with regulatory expectations for data accuracy, governance, traceability, and audit defensibility + Strong attention to detail with the ability to identify trends, anomalies, and potential control gaps + Strong knowledge of the compliance monitoring and testing lifecycle, including annual planning, execution, issue management, and reporting + Experience partnering with technology and data teams to remediate data quality issues and improve processes + Strong written and verbal communication skills, including presenting data-driven insights + Experience supporting regulatory exams, internal audits, or model/metric governance reviews is a plus

Customer Accountabilities:

+ Executes and manages testing activities in accordance with established standards and strategic direction to achieve completion within target timelines + Executes follow-up on findings raised from testing engagements in accordance with established standards + Conducts skilled analytical research and analysis as part of testing engagement and initiatives + Understands risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices + Develops strong relationships and works collaboratively with key partners + Oversees/leads the testing engagement, including communications and the reporting processes + Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization + Proactively identifies matters which require additional attention, further escalation, or review, and liaises with the appropriate staff to resolve

Shareholder Accountabilities:

+ Prioritizes and manages workload to deliver quality results and meet testing timelines + Contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies for area of responsibility + Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines + Clearly and concisely documents research as required to understand requirements specific to an engagement + Protects the interests of the organization - identifies and manages risks, and escalates non-standard, high risk transactions/activities as necessary + Applies subject matter expertise in the discipline, provides guidance, assistance, and direction to others + Actively manages relationships within and across various business lines, corporate and/or control functions, and drives alignment with enterprise and/or regulatory requirements + Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where required + Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations + Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank + Maintains a culture of risk management and control, supported by effectiv To view full details and how to apply, please login or create a Job Seeker account