Senior Manager, Compliance Testing (US)

TD•Portland, ME

2d•$115,440 - $173,160•Onsite

About The Position

The Senior Manager, Compliance Testing leads teams responsible for independent compliance testing activities. This role provides strategic leadership, oversight, and talent development to ensure effective risk-based testing and compliance with regulatory and internal standards. The Senior Manager works closely with business and Compliance stakeholders to drive testing quality, address emerging risks, and support enterprise-wide reviews and strategic initiatives, as needed. This role is within a fast-paced, start-up-like setting as the team builds a new compliance structure that aligns with the bank’s size, complexity, and risk profile. The ideal candidate will be strategic, tactical, collaborative, and creative, managing day-to-day operations while also helping design and implement a forward-thinking compliance program. An entrepreneurial mindset, comfort with ambiguity, and the ability to excel in a dynamic, evolving landscape are essential. The role offers the opportunity to shape the future of the bank and contribute to setting new industry standards.

Requirements

Undergraduate degree or equivalent work experience
10+ years of experience

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 leveraging data analytics and AI-enabled tools to enhance testing effectiveness, identify regulatory risks, and drive actionable insights.
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.
Proven ability to assess risks, identify issues, and provide effective challenge and escalation.
Ability to interpret laws, regulations, and regulatory guidance and assess impacts to 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.
CRCM certification is a plus.

Responsibilities

Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Responsible for the timely execution of the Compliance testing plan
Typically deals with senior/executive management in communicating Compliance testing results
Leverages deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas through testing engagements
Provides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals cascade to all workers
Guides talent identification and development processes
Key contact for dealing with a range of complex issues, including non-routine information
Manages and prioritizes the team to deliver on multiple reviews and projects at a given time
Identifies and leads problem resolution for project/program complex requirements related issues at all levels
Manages teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards
Conducts skilled analytical research and analysis as part of the testing engagement and initiatives
Develops, implements, tracks, and reports on Compliance testing schedules
Provides overall strategic direction to support the Compliance Testing Program, Procedures, and processes so that they stay current with established standards and regulatory expectations
Acts as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams for area of specialization
Reports on emerging trends, identifying risks and opportunities, and recommending action to senior management
Understands risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best business practices
Supports relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as needed
Provides functional/business level communications to stakeholders and/or leaders that are consistent, appropriate, and aligned with strategic direction
Works closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scale
Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly
Maintains extensive knowledge of business units and regulatory requirements/compliance issues within the Compliance area
Provides subject matter expertise, complex analysis and advice to business partners/team and applies knowledge in following up on outcomes, investigating and/or enforcing policy
Identifies and implements opportunities for continuous improvement in the Compliance Testing Program
Leads relationships with business lines/corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements
Supports team and management in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
Assesses/identifies key issues and escalates to management where required
Supports the facilitation of action/remediation plans as a result of an internal audit and/or regulator review of Compliance Testing Program
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Responsible for management of the overall team providing both leadership and guidance
Sets targets and objectives for the team, and delivers results
Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered
Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees
Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner
Manages employees in compliance with all human resources policies, procedures and guidelines of conduct
Shares knowledge, information, skills, and subject matter expertise among the team and promotes the timely communication of issues and encourages good working relationships with other functions and teams
Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes
Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally