Compliance Testing Manager (US)

TD•Mount Laurel, NJ

1d•$91,000 - $136,240

About The Position

The Compliance Testing Manager works within TD Bank US Compliance’s second-line Compliance Monitoring and Testing Program, which is responsible for policies and procedures, audit and regulatory exam requests, and quality assurance over U.S. Compliance testing. The role primarily provides oversight for independent quality assurance testing of engagements, 1B reperformance, and validation testing, while also supporting the broader U.S. Compliance Monitoring and Testing Program as needed. The manager plans and oversees independent Compliance testing performed by specialists and may execute testing directly when applicable. The role provides subject matter expertise on Compliance controls, processes, and testing methodologies, and leads assigned engagements through all phases. It operates independently, may lead complex and concurrent reviews from end to end, gives work direction and guidance to others, and may serve as the team’s highest escalation point. The position also contributes specialist knowledge to complex projects and initiatives, supports cross-functional processes, and may have enterprise-wide impact.

Requirements

Undergraduate degree or equivalent work experience.
At least 7 years of experience.
Experience with risk identification, risk analysis, and risk mitigation in accordance with regulatory requirements and business practices.
Ability to independently lead and manage complex, concurrent reviews and testing tasks from end to end.
Strong verbal and written communication skills.
Detail-oriented, with well-developed organizational, time-management, and project-management skills.
Ability to manage multiple tasks and competing priorities.
Proficiency with Microsoft Office applications.
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.
Ability to research, interpret, and summarize regulatory expectations, laws, regulations, and their impacts on Compliance Program elements.
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 identify, assess, and escalate issues requiring senior management attention.
Ability to work independently and provide guidance to stakeholders and team members.

Nice To Haves

Prior testing, audit, or business operations experience involving regulatory compliance.
Prior experience executing testing, validation, or audit activities.
CRCM certification.
Advanced knowledge of external competition, industry, or market trends relevant to the function or business.
Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems.

Responsibilities

Plan and oversee independent Compliance testing performed by specialists, including quality assurance testing of engagements, 1B reperformance, and validation testing.
Execute independent testing when applicable and lead assigned testing engagements through all phases.
Manage testing activities in accordance with established standards and strategic direction, meeting target timelines.
Conduct follow-up on findings from testing engagements.
Perform analytical research and analysis for testing engagements and initiatives, and clearly document research and engagement-specific requirements.
Oversee testing engagement communications and reporting processes.
Identify, assess, and escalate issues or matters requiring additional attention, senior management attention, or review, and liaise with appropriate staff to resolve them.
Apply expertise in Compliance controls, processes, and testing methodologies; provide guidance and direction to stakeholders, team members, and others.
Contribute as a subject matter expert to projects, cross-functional initiatives, and complex situations.
Develop relationships and collaborate with key partners across business lines and control functions to support alignment with enterprise and regulatory requirements.
Prioritize and manage workload, conduct multiple reviews and related tasks end to end, and deliver quality results within testing timelines.
Review internal processes and activities and help identify opportunities to improve operational efficiency.
Adhere to internal policies, procedures, enterprise frameworks, methodologies, and regulatory guidelines; identify and manage risks and escalate non-standard or high-risk activities.
Keep current on emerging issues, industry trends, and evolving regulatory requirements, and assess their potential impacts on the Bank.
Support team effectiveness through timely communication, knowledge transfer, cross-training, mentoring, and sharing best practices.
Contribute to a positive, equitable, and diverse work environment and represent the business area and Bank as a brand ambassador.