Compliance Testing Manager (US)

TD Bank • Greenville, SC

14h

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 support alignment with enterprise policies, regulatory expectations, and responsible AI principles. It develops governance standards, procedures, inventories, assessments, monitoring routines, and management reporting for 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.

Working independently, the manager leads complex testing engagements and projects, provides work direction and subject matter expertise, and may serve as the highest point of team escalation. The role requires managing multiple reviews from beginning to end, guiding stakeholders and team members, and applying knowledge of compliance testing methodologies and relevant industry and regulatory developments.

Requirements

• Undergraduate degree or equivalent work experience.
• 7+ years of experience.
• 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.
• 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 developing procedures, standards, and operating models.
• Strong stakeholder management skills and the ability to collaborate across Compliance, Risk, Technology, and business teams.
• Ability to translate compliance, governance, and operational requirements into scalable technology solutions.
• Ability to manage complex projects and concurrent reviews independently, provide subject matter expertise, and guide or direct others.
• Ability to identify, analyze, mitigate, document, and escalate risks in line with regulatory requirements and business practices.

Nice To Haves

• 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 leading technology-enabled process improvement and automation initiatives.

Responsibilities

• Establish, document, implement, and maintain the AI Governance Framework for US Compliance Monitoring & Testing.
• Oversee AI-related risks, controls, and governance activities in alignment with enterprise policies, regulatory expectations, and responsible AI principles.
• Develop AI governance standards, procedures, inventories, assessments, monitoring routines, and management reporting.
• Support, enhance, maintain, and optimize the CM&T Canvas App and related Power Platform solutions.
• Execute and manage compliance testing activities in accordance with established standards and strategic direction, meeting target timelines.
• Conduct follow-up on findings from testing engagements and perform analytical research and analysis for engagements and initiatives.
• Lead testing engagements, including communications and reporting, and provide subject matter expertise to projects and initiatives.
• Identify matters requiring additional attention, escalation, or review, and coordinate resolution with appropriate staff.
• Prioritize and manage workload, document research and requirements, and contribute to quality results and timely completion of testing.
• Review internal processes and identify opportunities to improve operational efficiency.
• Adhere to internal policies, enterprise frameworks, methodologies, and applicable regulatory guidelines; identify, manage, and escalate risks.
• Maintain knowledge of emerging issues, trends, and regulatory requirements and assess their potential impact on the Bank.
• Collaborate with Compliance, Risk, Technology, business teams, and other stakeholders to align governance and operational requirements and drive continuous improvement.
• Provide guidance, direction, mentorship, and knowledge sharing to team members and stakeholders.
• Manage relationships with internal and external partners and contribute to team development and a positive, equitable work environment.

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
• Training programs
• Online learning platform
• Mentoring programs
• Variable compensation/incentive awards, including potential cash and/or equity incentive awards

What This Job Offers

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