Senior Manager, Compliance Quality Assurance (US)

TD Bank • Charlotte, NC

82d • $110,760 - $178,880 • Hybrid

About The Position

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization. The Compliance Quality Assurance (US) team is responsible for providing independent quality assurance of compliance risk through the execution of reviews. These reviews assess whether Risk Owners and Oversight functions are complying with established policies, standards and procedures. The Senior Manager, Compliance Quality Assurance will supervise and/or execute these reviews. This role will play a key role in providing strategic guidance that reshapes Compliance's structures and processes. We're counted on to provide recommendations to enhance operational performance, foster meaningful process improvements and ensure adherence to internal policies, standards and procedures.

Requirements

• Undergraduate degree or equivalent work experience.
• 10+ years of experience in compliance, internal audit, testing, and/or quality assurance.
• Knowledge of financial institution laws/regulations, strategies and risk management/compliance programs.
• Expertise in advisory of policy, change management, project management and operations.
• Skilled in using computer applications including MS Office suite, with a focus on Excel and PowerPoint.
• High personal and professional integrity and standards.

Nice To Haves

• CPA, CIA, CFE, CRCM or equivalent.
• 12+ years of internal audit, testing and/or quality assurance experience.
• Strategic critical thinker with excellent judgment.
• Transparent and respected communicator, both internally and externally.

Responsibilities

• Oversee and develop teams of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements.
• Provide guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group.
• Manage the timely execution of the Compliance testing plan.
• Communicate Compliance testing results to senior/executive management.
• Identify and lead problem resolution for project/program complex requirements related issues at all levels.
• Develop, implement, track, and report on Compliance testing schedules.
• Act as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams.
• Support relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as needed.

Benefits

• Base salary and variable compensation/incentive awards.
• 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 and reward and recognition programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree