Compliance Quality Assurance Manager (US)

TD•Portland, ME

3d•$86,840 - $139,360•Hybrid

About The Position

The Compliance Quality Assurance (US) team is responsible for providing independent quality assurance of compliance risk through the execution of reviews. These reviews assess whether Risk Owners and Oversight functions are complying with established policies, standards and procedures. The Compliance Quality Assurance Manager (US) will execute these reviews and/or perform peer reviews. This role will play a key role in providing strategic guidance that reshapes Compliance's structures and processes. We’re counted on to provide recommendations to enhance operational performance, foster meaningful process improvements and ensure adherence to internal policies, standards and procedures. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused Compliance Quality Assurance function. This is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization. The Compliance Testing Manager is responsible for planning and overseeing independent Compliance testing completed by specialists. May execute some independent testing as applicable. This role provides subject matter expertise on Compliance controls/processes and is responsible for leading all phases of the assigned testing engagement.

Requirements

Undergraduate degree or equivalent work experience
7+ years of experience
8+ years of internal audit, testing and/or quality assurance experience
Knowledge of financial institution laws/regulations, strategies and risk management/compliance programs
Possesses and demonstrates expertise in the advisory of policy, change management, project management and operations
Skilled in using computer applications including MS Office suite, with a focus on Excel and PowerPoint
High personal and professional integrity and standards to advance TD's vision and protect the brand
Strategic critical thinker: has excellent judgment, achieves the right risk/reward balance
Delivers on objectives, focuses on what matters and can work across silos to build effective working relationships
Clear and concise verbal and written communication skills

Nice To Haves

CPA, CIA, CFE, CRCM or equivalent a plus

Responsibilities

Execute reviews and/or perform peer reviews.
Provide strategic guidance that reshapes Compliance's structures and processes.
Provide recommendations to enhance operational performance, foster meaningful process improvements and ensure adherence to internal policies, standards and procedures.
Plan and oversee independent Compliance testing completed by specialists.
Execute some independent testing as applicable.
Provide subject matter expertise on Compliance controls/processes and lead all phases of the assigned testing engagement.
Works independently and be accountable for acting as a lead in executing engagements and provides work direction to others on those engagements.
Provides subject matter expertise and/or guidance to various stakeholders and team members.
Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise.
Independently performs concurrent multiple reviews and related tasks from end to end.
May act as highest point of team escalation for resolution and provides direction to resolve issues or escalates.
Executes and manages testing activities in accordance with established standards and strategic direction to achieve completion within target timelines.
Executes follow-up on findings raised from testing engagements in accordance with established standards.
Conducts skilled analytical research and analysis as part of testing engagement and initiatives.
Understands risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices.
Develops strong relationships and works collaboratively with key partners.
Oversees/leads the testing engagement, including communications and the reporting processes.
Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization.
Proactively identifies matters which require additional attention, further escalation, or review, and liaises with the appropriate staff to resolve.
Prioritizes and manages workload to deliver quality results and meet testing timelines.
Contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies for area of responsibility.
Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines.
Clearly and concisely documents research as required to understand requirements specific to an engagement.
Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk transactions/activities as necessary.
Applies subject matter expertise in the discipline, provides guidance, assistance, and direction to others.
Actively manages relationships within and across various business lines, corporate and/or control functions, and drives alignment with enterprise and/or regulatory requirements.
Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where required.
Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations.
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank.
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite.
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest.
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit.
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques.
Participates in personal performance management and development activities, including cross training within own team.
Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities.
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships.
Contributes to a fair, positive and equitable environment that supports a diverse workforce.
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally.