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 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 Fair and Responsible Banking Compliance team is seeking an experienced compliance professional to support the quality assurance function for the review of high-risk and complex customer complaints across TD Bank US.
The Quality Assurance Manager, Fair and Responsible Banking (US) is responsible for providing independent quality assurance oversight of high-risk complaint reviews through the execution of quality assurance assessments. These assessments evaluate adherence to established policies, standards, procedures, and regulatory expectations by the High-Risk Complaint Review Team.
This role is accountable for conducting quality assurance reviews and peer reviews, identifying opportunities to strengthen review quality, consistency, and effectiveness. The Quality Assurance Manager plays a critical role in providing strategic guidance to enhance Fair and Responsible Banking Compliance’s high-risk complaint review framework, governance, and operational processes.
The incumbent is expected to deliver meaningful insights and recommendations through trend reporting and other feedback templates that improves operational performance, drive continuous process improvement, and promote adherence to internal policies, standards, procedures, and applicable regulatory requirements. Through effective challenge and oversight, this role supports the integrity, consistency, and overall effectiveness of the high-risk complaint review program.
The above details are specific to the role which is outlined in the general summary below. Please review the Desired Skills and Experience as you are considering this role.
Job Description Summary:
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.
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Highly seasoned professional role requiring substantial knowledge/expertise in a complex field and knowledge of broader related areas
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Integrates knowledge of the enterprise sub-function’s or business line’s overarching strategy in developing solutions across multiple functions or operations
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Interprets internal/external business challenges and the industry environment, recommends course of action and best practices to improve products, processes or services
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Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
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Leads cross-functional teams or projects with significant resource requirements, risk and/or complexity
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Independently manages end-to-end functional programs
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Uses sophisticated analytical thought to exercise judgement and identify solutions
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Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
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Impacts the achievement of sub-function or business line objectives within the area they are accountable for
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Work is guided by policies and industry standards/methods
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Communicates difficult concepts; converts information to compelling business context and advice; influences and gains alignment across increasingly senior stakeholders
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Works autonomously as the lead and guides others within area of expertise