Compliance Testing Manager (US)

TD Bank • Charlotte, NC

6d • Onsite

About The Position

The Compliance Testing Manager is part of TD Bank US Compliance’s second-line Compliance Monitoring and Testing team, which conducts independent, risk-based compliance testing and validation to assess the effectiveness of operational procedures and controls and regulatory outcomes across TD Bank business units and affiliates. The manager plans and oversees testing and validation work performed by specialists and may perform independent testing. The role provides subject matter expertise on Compliance controls, processes, and testing methodologies, and leads all phases of assigned testing engagements.

The position also leads special projects to transform testing execution through data-driven insights, automation opportunities, artificial intelligence capabilities, and enhanced reporting. The manager works independently on complex and concurrent reviews, provides direction and guidance to others, and may serve as the team’s highest escalation point. The role collaborates with stakeholders across the organization, supports regulatory and enterprise requirements, and contributes to a developing, scalable compliance risk management program.

Requirements

• Undergraduate degree or equivalent work experience.
• At least 7 years of experience.
• Ability to lead engagements independently and provide work direction to others.
• Knowledge of Compliance testing methodologies.
• Prior testing, audit, or business operations experience in areas involving regulatory compliance.
• Experience executing testing, validation, or audit activities.
• Knowledge and experience in 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.
• Ability to research, interpret, and summarize regulatory expectations, laws, regulations, and their impact on Compliance Program elements.
• Strong verbal and written communication skills.
• Detail orientation and strong organizational, time-management, and project-management skills.
• Ability to manage multiple tasks and competing priorities.
• Proficiency with Microsoft Office applications.
• Skill in using advanced analytical software tools, data analysis methods, and specialized reporting techniques.
• Ability to identify, assess, and escalate issues requiring senior management attention.
• Ability to work independently on multiple complex reviews and related tasks.

Nice To Haves

• CRCM certification.
• Experience with Tableau.

Responsibilities

• Plan and oversee independent Compliance testing and validation engagements, and perform testing as applicable.
• Lead assigned testing engagements from end to end, including engagement communications and reporting.
• Execute testing activities in line with established standards and strategic direction, meeting target timelines.
• Conduct analytical research and analysis, and document regulatory requirements relevant to engagements.
• Follow up on findings from testing engagements in accordance with established standards.
• Assess compliance controls, regulatory outcomes, risks, and corrective actions, and identify matters requiring escalation or further review.
• Provide subject matter expertise and guidance on Compliance controls, processes, testing methodologies, and related projects or initiatives.
• Lead special projects focused on data-driven testing insights, automation, artificial intelligence capabilities, and enhanced reporting.
• Manage multiple concurrent reviews and complex projects, prioritize workload, and provide work direction, mentorship, and guidance to others.
• Collaborate with business partners and stakeholders across business lines and control functions to support enterprise and regulatory requirements.
• Identify opportunities to improve operational efficiency and maintain alignment with internal policies, procedures, frameworks, and regulatory guidelines.
• Keep abreast of emerging issues, industry trends, and evolving regulatory expectations, and assess their potential impact on the Bank.
• Escalate issues and risks to appropriate stakeholders and senior management when needed.

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, training, and mentoring programs.
• Reward and recognition programs.
• Potential eligibility for cash and/or equity incentive awards through an incentive plan.

What This Job Offers

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