Compliance Quality Assurance Manager (US)

TD • Portland, ME

10d • $86,840 - $139,360 • Hybrid

About The Position

The Compliance Quality Assurance Manager (US) works on the Compliance Quality Assurance team, which independently reviews compliance risk to assess whether Risk Owners and Oversight functions follow established policies, standards, and procedures. The role executes reviews and/or peer reviews and provides strategic guidance and recommendations to improve Compliance structures, processes, operational performance, and adherence to internal requirements.

The position plans and oversees independent Compliance testing performed by specialists and may perform testing directly. It provides subject matter expertise on Compliance controls, processes, and testing methodologies, and leads all phases of assigned testing engagements. The role independently manages multiple concurrent reviews from end to end, gives work direction to others, and may serve as the highest team escalation point for issue resolution.

The team currently follows a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, the expectation is four days per week; timing may vary based on office availability and individual circumstances. The role is based in Charlotte, North Carolina, and is listed as 40 hours per week.

Requirements

• Undergraduate degree or equivalent work experience.
• At least 7 years of experience.
• Knowledge of financial institution laws and regulations, strategies, and risk management and compliance programs.
• Expertise in advising on policy, change management, project management, and operations.
• Proficiency with computer applications, including the Microsoft Office suite, with a focus on Excel and PowerPoint.
• High personal and professional integrity and standards.
• Strategic critical thinking and sound judgment, including balancing risk and reward.
• Ability to deliver on objectives, focus on priorities, and build effective working relationships across silos.
• Clear and concise verbal and written communication skills.
• Ability to work independently, lead engagements, and provide work direction to others.
• Expert knowledge of Compliance testing methodologies.

Nice To Haves

• CPA, CIA, CFE, CRCM, or equivalent certification.
• At least 8 years of internal audit, testing, and/or quality assurance experience.

Responsibilities

• Plan and oversee independent Compliance testing engagements, and perform testing as applicable.
• Lead assigned testing engagements through all phases, including communications and reporting.
• Execute and manage testing activities in accordance with established standards and strategic direction, meeting target timelines.
• Perform follow-up on findings raised from testing engagements.
• Conduct analytical research and analysis as part of testing engagements and initiatives.
• Identify, analyze, and mitigate risk in accordance with regulatory requirements and business practices.
• Develop strong relationships and collaborate with key partners and stakeholders.
• Provide subject matter expertise and input to projects and initiatives as a representative of the area of specialization.
• Identify matters needing additional attention, escalation, or review, and liaise with appropriate staff to resolve them.
• Prioritize and manage workload to deliver quality results and meet testing timelines.
• Review internal processes and activities and identify opportunities to improve operational efficiency.
• Adhere to internal policies, procedures, enterprise frameworks, methodologies, and applicable regulatory guidelines.
• Document research clearly and concisely to support engagement requirements.
• Identify, manage, and escalate risks, including non-standard or high-risk activities, as necessary.
• Provide guidance, assistance, and direction to others, and contribute to team skill development through mentorship and knowledge sharing.
• Manage relationships across business lines and control functions, and drive alignment with enterprise and regulatory requirements.
• Assess key issues and escalate them to appropriate levels and stakeholders.
• Participate in cross-functional and enterprise initiatives as a subject matter expert, identifying risks and providing guidance.
• Monitor emerging issues, trends, and regulatory requirements and assess their potential impact on the Bank.
• Support a culture of risk management and control aligned with risk appetite.
• Promote a positive, collaborative, equitable team environment and keep colleagues informed about project progress and relevant updates.
• Represent the business area and the Bank as a brand ambassador.

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
• Variable compensation or incentive awards, potentially including cash and/or equity awards

What This Job Offers

• Job Type: Full-time
• Career Level: Manager