Head of Compliance, Platforms & Technology, Digital and Marketing

📌 Core Information

🔹 Job Title: Head of Compliance, Platforms & Technology, Digital and Marketing

🔹 Company: TD

🔹 Location: New York, New York, United States

🔹 Job Type: On-site

🔹 Category: Compliance

🔹 Date Posted: May 1, 2025

🔹 Experience Level: 10+ years

🔹 Remote Status: On-site (with potential for hybrid or remote work, based on company policy)

🚀 Job Overview

Key aspects of this role include:

• Providing strategic leadership and management of regulatory compliance risk and oversight for business lines.
• Developing, maintaining, and enhancing compliance programs to provide effective, independent regulatory compliance risk management and oversight.
• Managing regulatory changes and providing trusted and reliable reporting, advice, and opinion to senior leadership and the Boards on the state of regulatory compliance risks, controls, and outcomes.
• Collaborating with business leaders to develop and operationalize the business plan and deliver on Compliance programs across the bank.
• Growing team expertise to align with business/enterprise demand and direction, assessing team skills and capabilities, and continually looking for ways to provide and enhance the value delivered.

ASSUMPTION: This role requires a high level of strategic thinking, leadership, and expertise in regulatory compliance, with a focus on technology platforms, digital channels, and marketing content.

📋 Key Responsibilities

✅ Provide people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork, and handling any/all disciplinary actions as required.

✅ Support the development, maintenance, and continuous enhancement of programs designed to provide effective, independent regulatory compliance risk management and oversight of business line(s) supported.

✅ Manage regulatory change and provide trusted and reliable reporting, advice, and opinion to senior leadership and the Boards on the state of regulatory compliance risks, controls, and outcomes.

✅ Work closely with business leaders to develop and operationalize the business plan and deliver on Compliance programs across the bank, additionally providing oversight on risk assessment process.

✅ Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered.

✅ Act as a Compliance executive lead on various projects, overseeing and/or coordinating a diverse group of compliance professionals, project managers, analysts, business and corporate function specialists, risk and control partners, and other stakeholders.

✅ Coordinate with regulators from the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (Fed), Consumer Financial Protection Bureau (CFPB), Office of Supervision of Financial Institutions (OSFI) and internal audit to ensure compliance.

✅ Aid in development and enhance a scalable compliance program with effective program elements that mitigate areas of compliance risk and establish sustainable controls commensurate with the risk appetite and growth of the Bank and its relevant subsidiaries.

✅ Provide seasoned advice and counsel for executive business partners as they pertain to compliance for new business initiatives and compliance issue resolution.

✅ Serve as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of assigned LOBs.

✅ Oversee the development of internal processes to identify and manage compliance risks.

✅ Manage the review of trend analyses of RIMS, Implementation, and self-monitoring reports for assigned teams to ensure department standards are met.

✅ Oversee the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations.

✅ Represent Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations.

ASSUMPTION: This role requires a strong understanding of regulatory compliance, risk management, and operational knowledge, with a focus on technology platforms, digital channels, and marketing content.

🎯 Required Qualifications

Education: Bachelor's degree or progressive work experience in addition to experience below

Experience: 10 years of related experience required, with prior compliance experience in overseeing technology platforms, systems, marketing content, and digital channels.

Required Skills:

• Strong understanding and demonstrated experience of technology's role in the business and compliance controls
• Extensive operational knowledge as pertains to implementation of regulatory requirements
• In-depth knowledge of financial services regulatory industry practices
• Strong management experience leading regulatory compliance activities
• Strong management, organizational, and evaluative process skills
• Demonstrated ability to develop and maintain productive business relationships with internal partners and external regulators
• Effective negotiation and influencing skills
• Strong analytical skills and ability to exercise sound judgment in development and selection of compliance solutions
• Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams
• Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels

Preferred Skills:

• Certified Regulatory Compliance Manager (CRCM), law degree, regulatory, or risk management experience

ASSUMPTION: This role requires a high level of expertise in regulatory compliance, with a focus on technology platforms, digital channels, and marketing content. A strong understanding of financial services regulatory industry practices is essential.

💰 Compensation & Benefits

Salary Range: $200,000 - $280,000 USD (based on industry standards for a role of this level and location)

Benefits:

• 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
• Reward and recognition

Working Hours: 40 hours per week

ASSUMPTION: The salary range provided is an estimate based on industry standards for a role of this level and location. The actual salary may vary based on the candidate's skills, experience, and other specific business and organizational needs.

📌 Applicant Insights

🔍 Company Context

Industry: Banking

Company Size: 10,001+ employees (Enterprise-level organization with extensive resources and a large compliance team)

Founded: 1855 (TD Bank was founded in Canada and has since expanded to the United States)

Company Description:

• 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, TD delivers legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world.
• TD is guided by its vision to Be the Better Bank and its purpose to enrich the lives of its customers, communities, and colleagues.

Company Specialties:

• Personal and commercial banking
• Brokerage services
• Mutual funds
• Asset management
• Insurance
• Capital markets products and services

Company Website: https://www.td.com/us/en/

ASSUMPTION: TD is a well-established and reputable financial institution with a strong focus on customer experience and innovation.

📊 Role Analysis

Career Level: Executive (Senior leadership role with significant impact on the organization's compliance strategy and operations)

Reporting Structure: Reports directly to the Chief Compliance Officer or another senior compliance executive

Work Arrangement: On-site (with potential for hybrid or remote work, based on company policy and role requirements)

Growth Opportunities:

• Potential to advance to a Chief Compliance Officer or other senior compliance leadership roles within the organization
• Opportunities to lead and manage larger teams or take on broader responsibilities as the organization grows and evolves
• Chance to develop and enhance skills in strategic planning, leadership, and compliance program management

ASSUMPTION: This role offers significant opportunities for career growth and development within a large, established organization.

🌍 Location & Work Environment

Office Type: Corporate headquarters (TD Bank's North American headquarters is located in Toronto, Canada, with regional offices and branches throughout North America)

Office Location(s): New York, New York, United States (with potential for remote work, based on company policy and role requirements)

Geographic Context:

• New York, New York, is a major financial hub with a diverse and dynamic business environment
• The city offers a wide range of cultural, recreational, and professional opportunities
• New York City has a high cost of living compared to other U.S. cities

Work Schedule: Standard business hours with potential for flexible scheduling based on role requirements and company policy

ASSUMPTION: The work environment for this role is subject to change based on company policy and role requirements, with potential for on-site, hybrid, or remote work arrangements.

💼 Interview & Application Insights

Typical Process:

• Phone or video screening with a recruiter or HR representative
• Behavioral and situational interviews with hiring managers or other senior team members
• Final round interviews with senior leadership or other key stakeholders
• Background check and reference checks (if applicable)

Key Assessment Areas:

• Regulatory compliance expertise and knowledge
• Leadership and management skills
• Strategic planning and problem-solving abilities
• Communication and interpersonal skills
• Cultural fit and alignment with TD's values and mission

Application Tips:

• Tailor your resume and cover letter to highlight your relevant experience and skills for this role
• Prepare for behavioral and situational interview questions by reflecting on your past experiences and accomplishments
• Research TD's company culture, values, and mission to demonstrate your fit and enthusiasm for the organization
• Follow up with your recruiter or HR representative after each interview round to express your interest and ask any questions you may have

ATS Keywords: Regulatory Compliance, Risk Management, Compliance Program Management, Strategic Planning, Leadership, Technology Platforms, Digital Channels, Marketing Content

ASSUMPTION: The application process for this role is subject to change based on TD's hiring practices and the specific needs of the organization.

🛠️ Tools & Technologies

• Microsoft Office Suite (Word, Excel, PowerPoint)
• Project management tools (e.g., Asana, JIRA, Microsoft Project)
• Compliance management software (e.g., Ascendant Compliance Manager, MetricStream, NAVEX Global)
• Regulatory reporting and analytics tools (e.g., MetricStream, Ascendant Compliance Manager, Actimize)

ASSUMPTION: The tools and technologies required for this role are subject to change based on TD's internal systems and the specific needs of the organization.

👔 Cultural Fit Considerations

Company Values:

• Integrity
• Empathy
• Inclusion
• Respect
• Excellence

Work Style:

• Collaborative and team-oriented
• Results-driven and focused on delivering legendary customer experiences
• Adaptable and open to change
• Committed to continuous learning and improvement

Self-Assessment Questions:

• How do you demonstrate integrity and ethical decision-making in your professional life?
• Can you provide an example of a time when you went above and beyond to support a colleague or customer, demonstrating empathy and inclusion?
• How do you approach continuous learning and improvement in your role and personal life?

ASSUMPTION: TD places a strong emphasis on cultural fit and values-based hiring, with a focus on integrity, empathy, inclusion, respect, and excellence.

⚠️ Potential Challenges

• Managing a large and diverse team with varying levels of experience and expertise
• Navigating a complex and evolving regulatory environment
• Balancing the need for compliance with the need for innovation and growth
• Working in a high-pressure, fast-paced environment
• Managing competing priorities and stakeholders

ASSUMPTION: This role presents unique challenges and opportunities for growth and development within a large, complex organization.

📈 Similar Roles Comparison

• Compared to other compliance roles, this position requires a higher level of strategic planning, leadership, and expertise in technology platforms, digital channels, and marketing content.
• TD's size and complexity may present unique challenges and opportunities compared to smaller or mid-sized financial institutions.
• Career paths in compliance can vary widely depending on the organization's structure, industry, and specific role requirements.

ASSUMPTION: This role offers unique opportunities and challenges compared to similar roles in other organizations, with a focus on strategic planning, leadership, and compliance program management within a large, complex financial institution.

📝 Sample Projects

• Developing and implementing a comprehensive compliance program for a new digital banking platform
• Managing a cross-functional team to address regulatory changes and ensure compliance with new laws and regulations
• Conducting a risk assessment and developing a mitigation strategy for a high-risk marketing campaign

ASSUMPTION: These sample projects are intended to illustrate the types of responsibilities and initiatives that may be required for this role, with a focus on strategic planning, leadership, and compliance program management.

❓ Key Questions to Ask During Interview

• Can you describe the current compliance program for technology platforms, systems, marketing content, and digital channels, and how this role fits into that structure?
• How does the company support the professional development and growth of its compliance team members?
• Can you provide an example of a time when the company faced a significant regulatory challenge, and how it was addressed?
• How does the company balance the need for compliance with the need for innovation and growth?
• What are the key priorities for this role in the first 90 days?

ASSUMPTION: These key questions are intended to help applicants better understand the role, the company, and the compliance team's priorities and goals.

📌 Next Steps for Applicants

To apply for this position:

• Submit your application through this link
• Tailor your resume and cover letter to highlight your relevant experience and skills for this role
• Prepare for behavioral and situational interview questions by reflecting on your past experiences and accomplishments
• Research TD's company culture, values, and mission to demonstrate your fit and enthusiasm for the organization
• Follow up with your recruiter or HR representative after each interview round to express your interest and ask any questions you may have

⚠️ This job description contains AI-assisted information. Details should be verified directly with the employer before making decisions.