Senior Manager, Compliance Testing (US)

TD Bank • Charlotte, NC

16h • Onsite

About The Position

The Senior Manager, Compliance Testing leads teams responsible for independent compliance testing activities within U.S. Compliance Monitoring & Testing, part of Second Line Compliance. The role provides strategic leadership, oversight, and talent development to support effective risk-based testing and compliance with regulatory and internal standards. The Senior Manager works with business and Compliance stakeholders to maintain testing quality, address emerging risks, and support enterprise-wide reviews and strategic initiatives.

The position oversees timely execution of the Compliance testing plan and manages multiple reviews and projects. It provides direction for the Compliance Testing Program, procedures, and processes; communicates testing results to senior and executive management; and serves as a subject matter expert and strategic advisor. The role also manages and develops employees, identifies and resolves complex issues, supports remediation plans, and advances continuous improvement in a fast-paced, evolving environment.

Requirements

• Undergraduate degree or equivalent work experience.
• 10+ years of experience.
• Strong knowledge of regulatory requirements, risk management frameworks, and compliance testing methodologies.
• Knowledge of compliance programs, governance frameworks, policies, controls, and regulatory obligations.
• Understanding of current and emerging regulatory expectations and industry best practices.
• Ability to assess risks, identify issues, provide effective challenge, and escalate appropriately.
• Ability to interpret laws, regulations, and regulatory guidance and assess their impacts on compliance programs.
• Strong leadership, organizational, project management, and prioritization skills.
• Excellent verbal and written communication skills, including the ability to influence senior leaders and stakeholders.
• Ability to manage multiple priorities and deliver results in a fast-paced environment.
• Proficiency with Microsoft Office applications and reporting tools.

Nice To Haves

• Experience leading compliance testing teams and overseeing complex testing engagements and issue validations.
• Experience in compliance testing, audit, risk management, or regulatory compliance within a regulated environment.
• Experience using data analytics and AI-enabled tools to improve testing effectiveness, identify regulatory risks, and produce actionable insights.
• CRCM certification.

Responsibilities

• Lead teams of compliance testing specialists and/or managers in executing Compliance Testing engagements and validating action plans according to established standards.
• Ensure timely execution of the Compliance testing plan and manage competing reviews and projects.
• Conduct and oversee analytical research and analysis in testing engagements and initiatives.
• Develop, implement, track, and report on Compliance testing schedules.
• Set strategic direction for the Compliance Testing Program, procedures, and processes, keeping them current with standards and regulatory expectations.
• Communicate testing results, emerging trends, risks, opportunities, and recommendations to senior management and other stakeholders.
• Advise management, business units, and teams on Compliance issues as a subject matter expert and strategic advisor.
• Identify, analyze, and mitigate risks; assess issues and escalate them when required.
• Work with business leaders to develop business plans and optimize resources, efficiency, effectiveness, and scale.
• Plan strategic activities, communicate results, and adjust tactics as needed.
• Provide complex analysis and advice to business partners, investigate outcomes, and enforce policy where appropriate.
• Identify and implement continuous improvements to the Compliance Testing Program.
• Build and maintain relationships with business lines, corporate functions, and control functions to promote enterprise and regulatory alignment.
• Support action and remediation plans resulting from internal audits or regulator reviews of the Compliance Testing Program.
• Maintain a culture of risk management and control aligned with the Bank’s risk appetite.
• Lead people-management activities, including hiring, setting goals, coaching, performance reviews, compensation decisions, and disciplinary actions as required.
• Develop team expertise, assess capabilities, promote knowledge sharing, and support timely communication and escalation.
• Foster a cohesive, diverse, fair, and high-performing team and support change through positive reinforcement.

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: Senior