Compliance Testing Manager (US)

TD•Portland, ME

7d•$91,000 - $145,600

About The Position

The Compliance Testing Manager works within U.S. Compliance Monitoring and Testing, a second-line Compliance function responsible for independent, risk-based compliance testing and validation. These activities assess whether business-unit procedures and controls are effective and whether regulatory outcomes comply with applicable laws, rules, and regulations. Issue validations independently assess the appropriateness, completeness, effectiveness, and sustainability of corrective actions taken to address issues. The manager plans and oversees independent Compliance testing and validations performed by specialists, may conduct testing, and leads all phases of assigned testing engagements. The role provides subject matter expertise on Compliance controls, processes, and testing methodologies; directs work on engagements; and manages multiple reviews and complex initiatives independently. It also leads special projects to transform testing through data-driven insights, automation opportunities, artificial intelligence capabilities, and enhanced reporting. The position requires collaboration with stakeholders, sound judgment in escalating issues, and the ability to help build and improve a forward-looking compliance program in a dynamic environment.

Requirements

Undergraduate degree or equivalent work experience.
At least 7 years of experience.
Prior experience in testing, audit, or business operations involving regulatory compliance.
Experience executing testing, validation, or audit activities.
Knowledge of risk management environments, standards, and regulations.
Knowledge of compliance or audit, legal and regulatory environments, enterprise governance frameworks, products and services, policies, standards, systems, reporting, and training requirements.
Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems.
Ability to research, interpret, and summarize relevant regulatory expectations, laws, regulations, and impacts to Compliance Program elements.
Strong verbal and written communication skills.
Detail orientation and well-developed organizational, time-management, and project-management skills.
Ability to manage multiple tasks and competing priorities.
Proficiency with Microsoft Office applications.
Skill in using computer applications including MS Office and Tableau.
Skill in using advanced analytical software tools, data-analysis methods, and specialized reporting techniques.
Ability to independently identify, assess, and escalate issues requiring senior management attention.
Ability to work independently, lead engagements, provide work direction, and manage multiple reviews and related tasks end to end.

Nice To Haves

CRCM certification.

Responsibilities

Plan and oversee independent Compliance testing and validations completed by specialists, and conduct independent testing when applicable.
Lead all phases of assigned testing engagements, including engagement communications and reporting.
Execute and manage testing activities in accordance with established standards and strategic direction, meeting target timelines.
Conduct follow-up on findings raised from testing engagements.
Perform analytical research and analysis for testing engagements and initiatives.
Apply risk identification, analysis, and mitigation practices in accordance with regulatory requirements and business practices.
Provide subject matter expertise and guidance on Compliance controls, processes, and testing methodologies to stakeholders and team members.
Lead special projects to transform testing execution through data-driven insights, automation opportunities, artificial intelligence capabilities, and enhanced reporting.
Identify matters requiring additional attention, escalation, or review, and work with appropriate staff to resolve them.
Document research and engagement-specific requirements clearly and concisely.
Manage workload and concurrent reviews, deliver quality results, and meet testing timelines.
Contribute to reviewing internal processes and identifying opportunities to improve operational efficiency.
Adhere to internal policies, procedures, enterprise frameworks, methodologies, and regulatory guidelines.
Identify and manage risks, escalate non-standard or high-risk activities, and maintain a culture of risk management and control.
Keep current with emerging issues, trends, and regulatory requirements, and assess potential impacts to the Bank.
Collaborate with business partners and stakeholders, contribute expertise to cross-functional initiatives, and support alignment with enterprise and regulatory requirements.
Provide direction, mentorship, knowledge sharing, and support for team development.
Keep stakeholders informed about project status and relevant day-to-day activities.
Support a positive, equitable, diverse, innovative, and collaborative work environment.