Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Technology Solutions

Pay Detail:

200000 - 235000 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.

Job Description:

Preferred Qualifications

Summary:

The Director, Compliance Technology – Risk & Controls is a senior leadership role accountable for strengthening the control environment across Compliance Technology platforms, leading audit and regulatory remediation efforts, driving technical currency and sustainability remediation, and providing disciplined financial oversight across the product group. This role partners closely with Compliance, Internal Audit, Risk, Finance, and Engineering leadership to ensure technology solutions are defensible, resilient, and aligned with regulatory expectations, while maintaining transparency and accountability across multi‑year remediation programs.

Responsibilities:

Risk & Control Ownership

Establish and maintain a robust technology risk and control framework aligned to enterprise risk standards, compliance obligations, and regulatory expectations.
Serve as the primary technology owner for control design, effectiveness, testing support, and issue management across Compliance Technology platforms.
Ensure controls are sustainable, automated where possible, and embedded into SDLC and operational processes rather than point-in-time fixes.
Provide clear, consistent executive‑level reporting on control health, material risks, and emerging issues.

Audit & Regulatory Remediation Leadership

Lead end‑to‑end audit, regulatory, and risk remediation efforts, including issue intake, root cause analysis, design of remediation solutions, execution tracking, and validation readiness.
Act as the senior technology point of contact for Internal Audit, regulators, and independent reviews, ensuring responses are accurate, timely, and defensible.
Drive reduction of repeat and thematic findings by addressing systemic gaps and control weaknesses.
Own remediation governance, milestones, dependency management, and escalation.

Technical Currency & Sustainability Remediation

Lead technical currency remediation initiatives, including platform modernization, architectural debt reduction, resiliency improvements, and control‑enabling enhancements.
Ensure remediation solutions improve long‑term operability, observability, and auditability, not just regulatory closure.
Partner with architecture and engineering leads to prioritize remediation work alongside product delivery roadmaps.

Program Financial Management

Own financial governance across remediation and control‑driven initiatives, including budget planning, tracking, forecasting, and variance explanations.
Ensure clear separation and traceability between run vs. change spend, capitalizable vs. non‑capitalizable costs, and remediation‑driven investment.
Provide transparent, executive‑ready financial reporting to senior technology and Compliance leadership.
Support business cases and funding requests tied to regulatory findings and control gaps.

Leadership & Stakeholder Management

Provide strong leadership across globally distributed technology teams, driving accountability, delivery discipline, and control‑first engineering culture.
Partner closely with Compliance, Risk, Finance, Audit, and Product leadership to align remediation priorities and execution plans.
Act as a trusted advisor to senior leadership on technology risk posture, remediation progress, and residual risk acceptance.

Required Qualifications:

12+ years of experience in technology leadership roles, preferably within Compliance, Risk, Surveillance, or regulatory‑driven environments.
Strong background in technology risk management, controls, and audit remediation within financial services.
Demonstrated experience leading large‑scale remediation or regulatory programs with executive visibility.
Solid understanding of SDLC governance, technical debt, data quality controls, and platform resiliency.
Proven ability to manage program financials, including budgeting, forecasting, and executive‑level reporting.
Excellent stakeholder management skills with the ability to communicate complex risk topics clearly and confidently.
Experience supporting regulatory remediation (e.g., audit findings, consent orders, supervisory actions).
Familiarity with Compliance, Surveillance & Supervision platforms and associated data/control challenges.
Experience embedding controls‑by‑design into modern engineering and data platforms.
Prior accountability for multi‑year remediation roadmaps spanning technology, process, and governance change.

The Director - Tech Solutions TDS Management builds and maintains strong business relationship with assigned clients / internal partners and provides direction and guidance on optimal technology solutions/services to meet business needs. The position generally manages a varied team of IT professionals and bridges the gap between the business and technology, and leverages resources across functional or specialized technology areas to ensure end to end delivery of agreed upon solutions or services within planned forecasts / cost estimates. Role generally supports a significant Business area, Product Group, Enterprise Platform, Service or Capability within a Segment CIO or Functional area.

Depth & Scope:

Role generally supports a significant business area, product group, Enterprise Platform, Service or Capability under a Segment CIO or technology functional area.
Sets work direction at an operational level, works autonomously in the management of the unit and collaborates with other business or technology leaders to establish and execute on common goals with a medium to longer term business perspective
Expert knowledge of the business and bank technology standards (e.g., infrastructure, architecture, processes, applications) from a strategic perspective and managing/ directing teams and projects
Sound knowledge of external competition, emerging, industry and/or market trends in relation to own business
Integrator role that oversees various technology functions / resources to deliver business technical solutions or shared service
Oversees a sizable and varied team of technology professionals (e.g., up to 50+ consisting of Application Developers, Solutions Designers, Business Systems Analysts, Specialists, and/or Project Managers) in the end to end delivery of complex projects, system enhancements / applications and/or application or service management
Directs/manages large-scale applications/ projects across multiple product lines/ businesses, involving significant scope and complexity
Understands strategic direction (including financials) and champions alliances to benefit the Bank and/or department; advocates for operational improvements to enhance the divisions value to the organization
Role typically reports to an Executive role

Education & Experience:

Undergraduate degree or Technical Certificate.
Graduate degree, preferred.
10+ years related experience.
Expert knowledge of the business and bank technology standards (e.g., infrastructure, architecture, processes, applications) from a strategic perspective and managing/ directing teams and projects.
Sound knowledge of external competition, emerging, industry and/or market trends in relation to own business.
Understands strategic direction (including financials) and champions' alliances to benefit the Bank and/or department; advocates for operational improvements to enhance the divisions value to the organization.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

Domestic Travel: Occasional
International Travel: Never
Performing sedentary work: Continuous
Performing multiple tasks: Continuous
Operating standard office equipment: Continuous
Responding quickly to sounds: Occasional
Sitting: Continuous
Standing: Occasional
Walking: Occasional
Moving safely in confined spaces: Occasional
Lifting/Carrying (under 25 lbs.): Occasional
Lifting/Carrying (over 25 lbs.): Never
Squatting: Occasional
Bending: Occasional
Kneeling: Never
Crawling: Never
Climbing: Never
Reaching overhead: Never
Reaching forward: Occasional
Pushing: Never
Pulling: Never
Twisting: Never
Concentrating for long periods of time: Continuous
Applying common sense to deal with problems involving standardized situations: Continuous
Reading, writing and comprehending instructions: Continuous
Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

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