Compliance Testing Manager (US)

TD Bank•Greenville, SC

21h•Onsite

About The Position

The Compliance Testing Manager works within TD Bank’s U.S. Compliance Monitoring and Testing Program, part of second-line Compliance. The role primarily oversees independent quality-assurance testing of engagement, 1B reperformance, and validation testing, and may assist the broader program team as needed. The manager plans and oversees independent Compliance testing performed by specialists and may conduct testing directly when applicable. The position provides subject matter expertise on Compliance controls, processes, and testing methodologies, and leads assigned testing engagements from end to end. The role works independently on concurrent, complex reviews and initiatives, provides direction to others, and may serve as the highest escalation point on a team. It collaborates with stakeholders across business and control functions, manages engagement communications and reporting, follows up on testing findings, and identifies and escalates risks and issues. The position also contributes to process improvements, regulatory and risk analysis, team development, and maintenance of effective risk management and control practices. The role is based in Greenville, South Carolina. The listed schedule is 40 hours. Domestic travel is occasional; international travel is never. Physical requirements include continuous sedentary work, multitasking, use of standard office equipment, sitting, concentration, reading, writing, comprehending instructions, and basic arithmetic. Occasional activities include responding quickly to sounds, standing, walking, moving safely in confined spaces, lifting or carrying under 25 pounds, squatting, bending, and reaching forward. Lifting or carrying over 25 pounds and several other listed physical activities are never required.

Requirements

Undergraduate degree or equivalent work experience.
At least 7 years of experience.
Ability to independently lead engagements and manage concurrent reviews and related work from end to end.
Strong knowledge of Compliance testing methodologies and Compliance controls or processes.
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 relevant regulatory expectations, laws, regulations, and their impacts on 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 advanced analytical software tools, data-analysis methods, and specialized reporting techniques.
Ability to independently identify, assess, and escalate issues requiring senior management attention.

Nice To Haves

Prior testing, audit, or business operations experience in areas involving regulatory compliance.
Prior experience executing testing, validation, or audit activities.
CRCM certification.
Skill in using Tableau.
Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems.

Responsibilities

Plan and oversee independent Compliance testing completed by specialists, and perform independent testing when applicable.
Oversee independent quality-assurance testing of engagement, 1B reperformance, and validation testing.
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.
Conduct analytical research and analysis as part of testing engagements and initiatives.
Follow up on findings raised from testing engagements.
Apply knowledge of risk identification, analysis, and mitigation 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.
Provide work direction to others on engagements and help resolve or escalate issues.
Identify matters requiring additional attention, escalation, or review, and work with appropriate staff to resolve them.
Prioritize and manage concurrent reviews, workload, and competing priorities while delivering quality results on schedule.
Document research and engagement-specific requirements clearly and concisely.
Identify risks and key issues, escalate high-risk or non-standard activities, and maintain effective risk management and control practices.
Contribute to reviews of internal processes and identify opportunities to improve operational efficiency.
Represent the area of specialization in projects and cross-functional or enterprise initiatives, providing input and risk guidance.
Keep informed about emerging issues, industry trends, regulatory expectations, and evolving requirements, and assess their potential impact on the Bank.
Collaborate with partners across business lines and control functions and promote alignment with enterprise and regulatory requirements.
Support a positive, inclusive, collaborative work environment; share knowledge, mentor others, and contribute to team development.
Keep relevant stakeholders informed about project progress and day-to-day activities.

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 incentive awards through participation in an incentive plan
Training programs and onboarding
Online learning platform
Mentoring programs