Compliance Administration Oversight & Reporting Manager

About this role

Work Location: Fort Lauderdale, Florida, United States of America Hours: 40 Pay Details: $91,000 - $136,240 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.

U.S. Wealth is a fully integrated wealth management business that provides products and services (designed for High-Net-Worth, Institutional and Mass Affluent clients of TD Bank, N.A. encompassing banking, custom credit, asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank N.A., TD Private Client Wealth LLC and TD Wealth Management Services Inc) with independent and complex regulatory regimes.  The Financial Advisors, Relationship Managers, and Investment Advisors who are part of the client-facing Distribution teams are both securities-registered and insurance-licensed. Additionally, the Trust Advisors support both personal and corporate trust. The Wealth Mortgage Lending Officers (WMLO) and the Wealth Lending Advisors (WLA) who support the lending activities of Wealth Banking. 

As a member of the US Wealth Compliance Department, the Compliance Business Oversight & Reporting Manager will:

• Lead Issue Management and Issue Governance activities for US Wealth Compliance, including issue intake, ownership assignment, monitoring, remediation tracking, escalation, and closure in accordance with enterprise governance standards. • Serve as the primary liaison between Compliance, business partners, and the Remediation Team to drive accountability, coordinate corrective action plans, and ensure timely resolution of compliance-owned issues. • Develop and deliver executive-level reporting, metrics, dashboards, and governance updates to provide senior leadership with visibility into issue status, remediation progress, risk trends, and key compliance matters. • Assist in the development, implementation, and maintenance of compliance policies, procedures, and governance frameworks by identifying policy and control enhancements resulting from issue management activities, remediation efforts, and governance reviews. • Partner with Operations, Technology, and business teams to identify control gaps, support remediation activities, and implement Compliance process and procedures enhancements arising from Issue Management and Governance activities. • Serve as a Compliance representative on cross-functional issues management initiatives, committees, governance forums, and strategic projects. • Provide backup support across US Wealth Compliance functions and participate in additional initiatives as required.

Job Summary: The Compliance Administration Oversight & Reporting Manager ensures regulatory adherence and risk management within our bank. This role oversees compliance monitoring, reporting, and governance processes, collaborating with cross-functional teams to enhance transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a dynamic environment is critical to this role.  

Depth & Scope: • Works independently and is accountable for managing a specialized Compliance function or area • Provides comprehensive coverage for a significant business or functional area across all legal entities and jurisdictions where TD operates • Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centers of expertise • Provides guidance and support to analysts on matters related to portfolio and specialty • Typically a subject matter expert for a key functional Compliance

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