Director, Governance & Regulatory Readiness

Work Location:

Hours:

Line of Business:

Pay Detail:

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.

Job Description:

Preferred Qualifications:

Description / Responsibilities:

• Support and maintain the end-to-end governance framework for the regulatory portfolio, including operating rhythm, forums, decision rights, escalation paths, and evidence standards to ensure consistent execution and oversight.
• Facilitate regulatory readiness for examinations, audits, and internal assurance activities by coordinating pre-exam planning, information requests, walkthroughs, and response packages; ensure timely, concise, high-quality submissions.
• Maintain a centralized repository and traceability model for regulatory commitments, remediation actions, milestones, and artifacts; ensure a clear line of sight from requirement to implementation, testing, validation and sign-off.
• Define and enforce reporting standards and controls (data quality checks, approvals, versioning, retention) for governance materials, regulatory correspondence, and management reporting.
• Act as central coordination point with Compliance, Risk, Legal, Technology, and Business stakeholders to align regulatory reporting, governance decisions and messaging.
• Monitor execution against governance expectations and regulatory commitments; surface risks, dependencies, and control gaps early; drive corrective actions through accountable owners.
• Develop and track readiness metrics (e.g., response timeliness, evidence completeness, issue aging, closure quality) and provide decision-ready insights to executive management committees.
• Support continuous improvement of exam management, issue management, and control testing processes by incorporating lessons learned and evolving regulatory expectations.

Key capabilities:

• Deep understanding of governance, regulatory risk and compliance concepts, including regulatory exam management, issue management, and audit/assurance expectations.
• Ability to translate complex regulatory requirements into actionable plans, evidence needs, and executive-level narratives.
• Strong issue tracking, action management, and status reporting capability across large regulatory portfolios
• Audit‑ and exam‑ready mindset with attention to detail, documentation quality, and traceability
• Strong program management and operating model design skills (cadence, decision rights, RACI, governance artifacts).
• Demonstrated success managing relationships with multiple regulators and leading implementation of complex regulatory initiatives across regions.
• Strong background in designing and implementing remediation programs and strategic compliance frameworks.
• Excellent written and verbal communication; able to draft regulator-ready materials and lead senior stakeholder discussions.
• Strong analytical, problem-solving skills to develop metrics, identify issues, trends, and drive data-quality discipline in reporting.
• High attention to detail, sound judgment, and ability to operate effectively under tight timelines and scrutiny.
• Collaborative leadership style with the ability to influence across lines of defense and cross-functional teams.

Scope & Stakeholders:

• Primary stakeholders: Compliance, Operational Risk, Legal, Internal Audit, Technology Risk/Controls, Product/Engineering, Business Operations, and executive governance committees.
• Serves as a central point of coordination for regulatory interactions, exams, audits, and internal assurance activities related to the portfolio.
• Owns governance artifacts such as meeting materials, action logs, commitment trackers, evidence inventories, and management reporting.

Qualifications:

• Bachelor’s degree or equivalent experience.
• 10+ years of experience in governance, regulatory compliance, operational risk, audit, or regulatory exam management within a regulated industry (e.g., financial services, fintech, healthcare, energy, telecom).
• Demonstrated experience leading enterprise or multi-workstream programs with executive visibility.
• Proven ability to manage sensitive information and maintain appropriate confidentiality and recordkeeping.

Preferred Qualifications:

• Experience directly supporting regulatory examinations and managing regulator deliverables end-to-end.
• Experience with issue/commitment tracking tooling and evidence repositories (e.g., GRC platforms) and with creating traceability from requirement to control/evidence.
• Familiarity with common risk and control frameworks and testing approaches (e.g., COSO, ISO 27001, NIST, SOC 2), as applicable to the organization.
• Experience in a second line (Compliance/Risk) or third line (Internal Audit) function, or as a first-line controls leader.

Success Measures (What “good” looks like):

• Regulatory and audit requests are responded to on time with complete, consistent, and well-evidenced submissions.
• Commitments, remediation items, and dependencies are tracked with clear ownership; aging and slippage are proactively managed.
• Executive stakeholders receive concise, decision-ready reporting with high data quality and minimal rework.
• Exams and audits conclude with fewer repeat findings and improved outcomes over time.
• Governance forums run predictably, decisions are documented, and escalation paths are used effectively.

The Director, Change Delivery-TDS leads, manages, and supports the end-to-end delivery of projects and major strategic and cross-functional initiatives across the dealers that are high in complexity and major in scope.

Depth & Scope:

• Ensures end-to-end delivery of projects
• Works in close partnership with all project stakeholders to align plans, timelines, expectations and deliverables to meet project's objectives
• Uses negotiation and influencing skills to build consensus amongst diverse stakeholder groups to ensure project deliverables are met
• Ensures projects are delivered based on agreed scope, agreed timeline and approved budget
• Manages resolution of issues and risks effectively and if required ensures timely escalation of the issues and risks
• Communicates effectively project status communication to stakeholders
• Manages project financials and benefits realization
• Creates and maintains comprehensive project management artifacts as required by project governance standards
• Considered as a subject matter expert on practices, procedures and principles of project management
• Manages projects through Project Management Life Cycle including Planning, Execution, Control and Closure of projects
• Manages / oversees testing deliverables for the project including: testing strategies, planning, preparation and execution activities, review and sign-off of testing documentation

Education & Experience:

• Bachelor's Degree or Equivalent
• 7+ Years of Prior Experience
• Outstanding record of project management success preferably in Capital Markets, both in results achieved and in use of professional methodology especially using Agile approach
• Strong project management skills and demonstrated experience
• Solid organizational skills including attention to detail and multi-tasking skills
• Excellent written and verbal communication skills
• Pro-active in developing and implementing strategies that significantly mitigate risk

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple.  Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

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

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected].  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.