Manager, Compliance Risk Assessment Execution (US)

TD Bank Group; New York, Northern (NY, KY); Hybrid; USD 91,000 - 146,000; Full time

Job summary

TD Bank US Compliance is seeking a Manager of Compliance Risk Assessment Execution in New York, NY. The role supports enterprise regulatory risk assessments and program effectiveness, reporting to the Senior Manager and coordinating with risk owners and oversight functions.

The ideal candidate has an undergraduate degree and 7+ years in compliance or risk management, with strong MS Office skills and data visualization capabilities.

Qualifications

• Undergraduate degree required or equivalent work experience.
• 7+ years experience in compliance, risk management, or related field.
• Advanced proficiency in Microsoft Office; knowledge of governance, risk and compliance tools is a plus.

Responsibilities

• Support updates to the Regulatory Compliance Risk Assessment standards and procedures to enable annual assessments and program effectiveness.
• Act as a subject matter expert to assist Risk Owners and Oversight Functions in navigating the Regulatory Compliance Risk Assessment workflow.
• Conduct QA/QC activities to maintain data accuracy and completeness.
• Support the Quality Assurance Review team and ensure timely updates and issue escalation.
• Develop status reporting and senior management reporting for timely risk assessment execution and governance.

Job description

## Manager, Compliance Risk Assessment Execution (US)Apply: On Site: New York, New York: Charlotte, North Carolina: Full time: Posted Today: End Date: October 30, 2026 (30+ days left to apply): R\\_1511212**Work Location:**New York, New York, United States of America**Hours:**40**Pay Details:**$91,000 - $145,600 USDTD 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 is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.**Reporting to the Senior Manager, Compliance Risk Assessments, the Manager** suppor**ts the execution and maintenance of the \"Regulatory Compliance Risk Assessments\" across the enterprise and is responsible for the development of activities/practices that govern and support the identification, management, monitoring, and reporting.****Key Responsibilities:** * Support updates to the Enterprise **Regulatory Compliance Risk Assessment** Standard and procedures to support the execution of the Annual Regulatory Compliance Risk Assessment and Program Effectiveness activities.* Act as a subject matter expert to provide support/assistance to Risk Owners and Oversight Functions in navigating the Regulatory Compliance Risk Assessment workflow.* Conduct quality assurance and quality control activities to maintain data accuracy and data completeness.* Support the Quality Assurance Review team, reaching out to Compliance teams to support timeliness of updates and escalation.* Support the closure of findings against the Regulatory Compliance Risk Assessment Program.* Development of status reporting to support the timely completion of Risk Assessment activities and also developing management reporting for senior audiences.* Develop proactive strategies, processes, and recommendations to senior leaders to run and execute a Regulatory Compliance Risk Assessment.* Support ad hoc transformation changes and projects/tasks as required.***\\*\\*\\*The above details are specific to the role which is outlined in the general description below. Please review the Preferred skills below as you consider this opportunity.***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:*** **Undergraduate degree required; relevant post-graduate degree and/or professional designation is preferred.*** **8 years of relevant experience in Compliance, Risk Management, Internal Audit, regulatory oversight, or a related discipline.*** **Advanced proficiency in Microsoft Office applications; experience with governance, risk, and compliance technology and data visualization tools is an asset.*** **Strategic thinking and continuous improvement mindset, with demonstrated ability to enhance methodologies, streamline processes, support technology-enabled transformation, and implement sustainable solutions with strong attention to detail.*** **Demonstrated leadership capabilities, including leading cross-functional initiatives, coaching colleagues, driving accountability, and operating effectively with minimal supervision in a changing and ambiguous environment.*** Excellent written and verbal communication skills, including the ability to prepare clear assessment documentation, executive-level reporting, presentations, and concise recommendations for senior audiences.* Proven relationship management and influencing skills, with the ability to work effectively with Risk Owners, Oversight Functions, regulatory subject matter experts, technology partners, and senior leaders across business lines and jurisdictions.* Strong program and project management capabilities, including coordinating enterprise-wide assessment cycles, maintaining standards, procedures, templates, and governance routines, and delivering high-quality results within established timelines.* Advanced analytical and problem-solving skills, including the ability to analyze complex datasets, identify trends and outliers, assess data quality, and develop actionable risk insights using metrics and assessment results.* Demonstrated ability to provide objective review, effective challenge, and credible oversight of risk assessment methodologies, assumptions, ratings, rationales, and supporting evidence.* Demonstrated experience evaluating the adequacy and effectiveness of controls, identifying control gaps and emerging risks, and developing risk-based recommendations.* Strong knowledge of applicable laws, rules, regulations, regulatory expectations, and emerging compliance risk trends, with the ability to translate requirements into practical risk assessment activities.* Advanced knowledge of regulatory compliance risk management principles, enterprise governance frameworks, and risk assessment methodologies, including inherent risk, control effectiveness, and residual risk assessment.**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* Supports the team by continuously enhancing knowledge/expertise in own area and participates in knowledge transfer within the team and business unit* Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques* Participates in personal performance management and development activities, including cross training within own team* Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities* Contributes to the success of the team by willingly assisting others in the completion and performance of work activities; provides training, coaching and/or guidance as appropriate* Contributes to a fair, positive and equitable environment that supports a diverse workforce* Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally **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.