Work Location:
United States of America
Hours:
40
Pay Details:
$160,000 - $220,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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:

The Head of US Compliance Quality Assurance lead will provide thought leadership into the strategic vision for our approach to perform quality assurance testing and monitoring throughout the second-line of defense compliance risk management program, including the appropriate organization structure and staffing to achieve the strategy. Responsible for developing and implementing the target operating model for Compliance quality assurance capability with a focus on optimizing controls, streamlining and standardizing quality assurance testing execution and improving quality assurance testing effectiveness and efficiency. Provide independent quality assurance oversight of remediations within the second line Compliance function. Through quality assurance testing, ensure compliance reports are accurate and tie to gold source information. Drive internal Compliance expertise of root cause analysis.

Depth & Scope:

• Develop and maintain constructive relationships between the Senior Management across TD and the Senior Compliance Leaders to build and maintain trust in TD by our regulators and our business partners.
• Oversees / leads Quality Assurance programs across US Compliance.
• Oversees the development and execution of the quality assurance annual program as well as evolving the QA strategy to align with regulatory expectations and industry best practices.
• Ensure quality of information provided in reports for Audit Committee, other corporate governance committees and Enterprise Risk Management Committee meetings, and related legal entity compliance reports.
• Maintain practices and procedures to communicate quality assurance program requirements, standards and expectations to help manage a robust regulatory compliance risk management program.
• Provide routine and regular reporting of activities, issues and events, through appropriate channels.
• Maintain positive, honest, transparent and constructive relationships with regulators and other stakeholders.
• Ensure that Compliance Department strategic initiatives and directives are carried out effectively and that those strategic initiatives and directives comply with all relevant regulatory requirements, standards and expectations, as well as internal compliance policies.
• Oversees/leads Compliance Units Quality Monitoring and Quality Assurance programs across US Compliance.
• Responsible for development and execution of the quality monitoring and quality assurance programs as well as evolving the QA strategy to align with regulatory expectations and industry best practices.
• Plans and leads quality assurance activities that require understanding across multiple areas of the Compliance function.
• Acts as a subject matter expert on the compliance risk management framework and supporting standards
• Own evolution/enhancement of the quality assurance subject matter expertise, program, and processes.
• Lead/facilitate compliance engagement in governance programs, offering guidance, and contributing to the development of associated frameworks, policies, processes, and procedures.
• Guides the team and participates in identification of issues and applicable recommendations to the Compliance teams.
• Identifies key gaps in the execution of the compliance framework and standards and recommends possible methodology improvement and training opportunities.
• Develop and grow the compliance aspect of risk management programs, working in coordination with relevant teams.
• Foster a culture receptive to innovation and change within the compliance team, promoting adaptability and forward-thinking.
• Keeps current on emerging risks, trends and evolving regulatory requirements for Compliance and the quality assurance teams.

Education & Experience:

• Bachelor's degree required
• 10+ years related experience required
• In-depth knowledge of financial services, regulatory industry practices
• Strong management experience leading regulatory compliance activities
• Regulatory, industry and operational knowledge with respect to testing and monitoring.
• Ability to operationally manage a complex team that has a wide variety of skill sets.
• Strong Control/Risk Management mindset.
• Negotiation skills and forward looking with an ability to drive and implement change and solve problems.
• Focus on developing and strengthening robust relationships with senior leaders and key stakeholders

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.