Compliance Testing Manager (US)

TD•Portland, ME

1d•$91,000 - $145,600•Onsite

About The Position

The Compliance Testing Manager – AI Governance & Technology Enablement establishes, documents, implements, and maintains the AI Governance Framework for US Compliance Monitoring & Testing (US CM&T). The role oversees AI-related risks, controls, and governance activities to align with enterprise policies, regulatory expectations, and responsible AI principles. It develops governance standards, procedures, inventories, assessments, monitoring routines, and management reporting to support AI-enabled compliance monitoring and testing activities. The manager also supports the CM&T Canvas App and related Power Platform solutions by enhancing, maintaining, and optimizing application functionality for risk assessments, testing execution, issue management, workflow automation, and reporting. The position partners with Compliance, Risk, Technology, and business stakeholders to advance governance, operational effectiveness, and continuous improvement. This role works independently as a lead on engagements, provides direction to others, and is considered a subject matter expert in compliance testing methodologies. It handles complex projects and concurrent reviews from end to end, may serve as the team's highest escalation point, and may have enterprise impact. The position is based in Greenville, South Carolina, with 40 hours listed.

Requirements

Undergraduate degree or equivalent work experience.
7+ years of experience.
Ability to work independently and lead engagements, provide work direction, manage concurrent reviews from end to end, and handle complex projects and initiatives.
Subject matter expertise in compliance testing methodologies.
Ability to provide guidance to stakeholders and team members and resolve or escalate issues.
Ability to conduct analytical research, identify and analyze risks, document work clearly, and manage testing timelines.
Strong stakeholder collaboration and relationship-management capabilities across Compliance, Risk, Technology, business teams, and control functions.
Ability to work in a fast-paced, evolving environment with ambiguity and take initiative.

Nice To Haves

Experience establishing, implementing, and maintaining AI governance frameworks, policies, standards, and oversight processes.
Knowledge of AI risk management, Responsible AI principles, model governance, and emerging regulatory expectations related to artificial intelligence.
Hands-on experience designing, building, enhancing, and maintaining Microsoft Power Apps (Canvas Apps) and Power Platform solutions.
Experience modifying application design, user interfaces, workflows, data connections, and reporting capabilities to meet evolving business needs.
Proficiency with Power Apps, Power Automate, SharePoint, Dataverse, and Microsoft 365 integrations.
Experience assessing and documenting risks, controls, and governance requirements for AI-enabled business processes and solutions.
Experience supporting Compliance Monitoring & Testing, Compliance Risk Management, Operational Risk, Internal Audit, or other governance and control functions.
Strong process documentation and business requirements management skills, including development of procedures, standards, and operating models.
Experience leading technology-enabled process improvement and automation initiatives.
Ability to translate compliance, governance, and operational requirements into scalable technology solutions.
Strong stakeholder management skills, with the ability to collaborate effectively across Compliance, Risk, Technology, and business teams.

Responsibilities

Establish, document, implement, and maintain the AI Governance Framework for US Compliance Monitoring & Testing.
Oversee AI-related risks, controls, and governance activities to support alignment with enterprise policies, regulatory expectations, and responsible AI principles.
Develop governance standards, procedures, inventories, assessments, monitoring routines, and management reporting for AI-enabled compliance monitoring and testing.
Support, enhance, maintain, and optimize the CM&T Canvas App and related Power Platform solutions, including functionality for risk assessments, testing execution, issue management, workflow automation, and reporting.
Partner with Compliance, Risk, Technology, and business stakeholders to advance governance, operational effectiveness, and continuous improvement.
Lead and manage testing activities and engagements in accordance with established standards and strategic direction, delivering within target timelines.
Follow up on findings from testing engagements in accordance with established standards.
Conduct analytical research and analysis for testing engagements and initiatives; identify, analyze, and mitigate risk according to regulatory requirements and best practices.
Oversee testing engagements, including communications and reporting, and provide subject matter expertise or input to relevant projects and initiatives.
Identify matters requiring additional attention, escalation, or review, and work with appropriate staff to resolve them.
Manage workload and deliver quality results on schedule; document research and engagement-specific requirements clearly and concisely.
Review internal processes and identify opportunities to improve operational efficiency; adhere to internal policies, enterprise frameworks, methodologies, and regulatory guidelines.
Protect the organization's interests by identifying and managing risk, escalating non-standard or high-risk activities, and maintaining a culture of risk management and control.
Monitor emerging issues, industry trends, and regulatory requirements and assess their potential impact on the bank.
Provide guidance, direction, mentorship, knowledge sharing, and thought leadership to team members and stakeholders.
Keep colleagues informed about project status and relevant day-to-day information, contribute to team development, and support a positive, inclusive, collaborative work environment.
Manage relationships across business lines and control functions, develop productive stakeholder relationships, and promote alignment with enterprise and regulatory requirements.
Participate in personal performance management and development activities, including cross-training within the team.
Represent the business area and bank as a brand ambassador.