TD Securities · 8 hours ago
Manager, Compliance Third-Party Risk Management (TPRM) (US)
New York, NY
Full-time
Onsite
Mid, Senior Level
$91K/yr - $146K/yr
7+ years expTD Securities is a leading global financial institution, and they are seeking a Manager for Compliance Third-Party Risk Management (TPRM). In this role, you will develop and implement compliance governance programs, manage day-to-day operations, and ensure adherence to regulatory requirements while collaborating with various stakeholders.
BankingFinanceFinancial Services
Responsibilities
Develop and maintain Enterprise Compliance TPRM Standard and procedure documents; perform annual refreshed
Conduct training for impacted stakeholders
Participate as a stakeholder in annual Global/US Compliance TPRM procedure review to ensure alignment with Enterprise Compliance TPRM Standard
Perform gap assessments against TPRM Policy and Standards
Establish Quality Assurance (QA) process
Develop controls and monitoring testing
Conduct Business Line Third Party Oversight Reviews to assess adequacy of business/first line oversight over third party's processes related to compliance with consumer regulations
Provide oversight for Issues and Findings assigned to Global and US Compliance
Own current Issue remediation efforts
Coordinate with the reporting team to develop and deliver regular reporting to senior management on key third-party compliance risks, trends, and remediation efforts
Conduct thematic analysis of issues/findings to identify program enhancement opportunities
Participate in relevant governance committees, risk forums, and third-party oversight meetings to represent CPG's perspective on third-party risk
Ensure regulatory changes impacting third-party compliance risk are identified, assessed, and integrated into TPRM processes
Serve as SME for Enterprise Compliance TPRM
Manage and coach junior team members, providing regular feedback, supporting professional development, and building subject matter expertise across the team
Qualification
Required
Undergraduate degree or equivalent work experience
7+ years of experience
Preferred
7+ years of experience in compliance, risk management, internal audit, or related fields, with demonstrated leadership or team management experience
Preferred experience in fintech, regulated financial services institutions, or consulting firms
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time
Experience with regulatory programs or consent order projects
Proficiency in developing and implementing governance documents and conducting testing for adherence
Strong leadership skills with a proven track record in driving positive and sustained change
Experience in project management and/or managing issues through remediation
Ability to effectively partner with cross-functional teams, including Operational Risk, TPRM, and Business Owners
Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators and collaborating across large organizations
Strong analytical and communication skills with the ability to escalate and articulate risks to senior leadership
Experience mentoring or managing team members and driving individual performance and development
Ability to work in a team dynamic
Highly proficient and skilled in Word, Excel, PowerPoint, Outlook, Teams, Microsoft Office Suite, MS Project, Visio, and Power BI
Proficiency with compliance related GRC tools (e.g., ServiceNow, Archer)
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
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
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