Senior Compliance Testing Analyst (US)

TD Bank•Greenville, SC

About The Position

The Senior Compliance Testing Analyst – Annual Planning & Reporting supports the execution, administration, and ongoing management of the Compliance Monitoring & Testing (CM&T) annual plan and reporting processes. The role maintains testing plans, coordinates and implements plan changes, monitors execution metrics, and produces accurate, timely management reporting to support leadership decisions. The analyst partners with Compliance Testing teams and key stakeholders to keep planning data, reporting, and governance activities organized, transparent, and aligned with program objectives. The position also supports data analysis, reporting automation, dashboard maintenance, and continuous improvement initiatives. The analyst independently researches and maintains expertise on banking regulations, laws, policies, procedures, and consumer protection laws. They learn applicable regulatory requirements for assigned business units, help develop test steps, conduct complex analysis and testing of controls and processes, summarize results, and identify improvements. The role may assist management with writing and presenting findings, and oversees or independently performs assigned work from end to end, including complex or non-standard assignments. The successful candidate will work in a dynamic environment while managing day-to-day responsibilities and contributing to the development of the compliance program. They collaborate with Compliance, Risk, business partners, and management; communicate testing results; follow established standards and regulatory requirements; and contribute to risk management, team development, and continuous improvement.

Requirements

Undergraduate degree or equivalent work experience.
At least 5 years of experience.
Sound independent professional judgment and discretion when communicating with bank staff and senior management on regulatory compliance and risk matters.
Ability to independently research and maintain knowledge of banking regulations, laws, policies, procedures, and consumer protection laws.
Ability to learn regulatory requirements, develop testing steps, perform complex controls and process testing, analyze results, and identify improvement areas.
Ability to conduct testing engagements and validate findings in accordance with established standards.
Strong analytical and problem-solving skills, including the ability to interpret data and provide meaningful insights.
Strong organizational skills and ability to manage multiple priorities, deadlines, and plan changes.
Strong attention to detail and commitment to producing accurate, high-quality work.
Ability to communicate research and testing results clearly and concisely to management, stakeholders, and business partners.
Ability to work independently on complex or non-standard assignments and manage work end to end.
Ability to collaborate across Compliance, Risk, business functions, and stakeholder groups.
Ability to keep current on emerging trends, regulatory frameworks, and changes to internal policies and standards.

Nice To Haves

Experience supporting annual planning processes, test scheduling, resource planning, or governance program administration.
Advanced proficiency in Microsoft Excel, including pivot tables, complex formulas, data validation, and reporting.
Experience performing data quality reviews, reconciliations, and reporting controls.
Experience developing and maintaining management reports, dashboards, scorecards, and executive presentations.
Experience with Power BI, Power Query, Tableau, or similar reporting and data visualization tools.
Experience with Power Apps, SharePoint, or workflow management tools.
Experience in Compliance Monitoring & Testing, Compliance Risk Management, Operational Risk, Internal Audit, or related control functions.
Knowledge of compliance testing methodologies, issue management, and regulatory compliance frameworks.

Responsibilities

Support execution, administration, and ongoing management of the Compliance Monitoring & Testing annual plan and reporting processes.
Maintain testing plans, coordinate and implement plan changes, and monitor execution metrics.
Produce accurate and timely management reports to support leadership decision-making.
Coordinate with Compliance Testing teams and stakeholders on planning data, reporting, and governance activities.
Support data analysis, reporting automation, dashboard maintenance, and continuous improvement initiatives.
Research and maintain expertise on applicable banking regulations, laws, policies, procedures, and consumer protection laws.
Learn regulatory requirements for assigned business units and help develop test steps to assess business-line compliance.
Perform complex analysis and testing of business-line controls and processes; summarize results and identify areas for improvement.
Assist management in writing testing findings and presenting them to business-line staff and senior management.
Oversee and/or independently complete assigned work from end to end, including complex and non-standard assignments.
Execute testing engagement work in accordance with established standards and target timelines.
Conduct analytical research and analysis as part of testing engagements and related initiatives.
Collaborate with Compliance and business-line partners throughout testing engagements.
Identify potential errors and validate findings in accordance with established standards.
Proactively identify matters requiring additional attention, escalation, or review.
Prioritize and manage workload to deliver quality results within assigned timelines.
Contribute to the analysis, due diligence, and implementation of initiatives within the defined area of responsibility.
Follow internal policies, standards, procedures, methodologies, and regulatory requirements; help identify opportunities to improve the Compliance Management System.
Understand the business unit being tested, identify potential compliance risks, and apply risk-based information to engagements.
Clearly document research and engagement-specific requirements.
Keep current on regulatory developments, internal policies, and standards.
Analyze issues, communicate results to Compliance Testing management, and assist management in communicating results to clients.
Maintain a culture of risk management and control aligned with the organization’s risk appetite.
Participate as a team member, support a positive and collaborative work environment, and communicate relevant project status and information.
Share expertise and knowledge, participate in knowledge transfer, and contribute to team development through mentorship and coaching as appropriate.
Maintain productive relationships with internal and external stakeholders and support a fair, positive, and equitable work environment.
Participate in personal performance management, development, and cross-training activities.