Compliance Testing Manager (Central Services) (2912)

TD; Toronto; On-site; CAD 91,000 - 137,000; Full time

Job summary

An established industry player is seeking a Compliance Testing Manager to support the development and delivery of compliance testing standards. This role involves working with stakeholders to evolve testing processes, leading planning efforts, and providing subject matter expertise in regulatory compliance. With a focus on continuous improvement, the ideal candidate will bring extensive experience in the financial services sector, strong communication skills, and a proactive approach to problem-solving. Join a forward-thinking organization that values your contributions and offers growth opportunities in a dynamic environment.

Benefits

Health and well-being benefits

Savings and retirement programs

Paid time off

Career development opportunities

Banking benefits and discounts

Qualifications

• 5+ years in financial services, preferably in Audit or Compliance.
• Exceptional communication and problem-solving skills required.

Responsibilities

• Develop and maintain Compliance Testing standards and guidelines.
• Lead annual monitoring and testing planning process.
• Coordinate audit and regulatory requests.

Skills

Regulatory Compliance Management

Audit experience

Communication skills

Problem-solving skills

Relationship management

Education

University degree

CPA/CA designation

CIA or other relevant designations

Tools

Compliance Testing tools

Audit management software

Job description

Compliance Testing Manager (Central Services) (2912)

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Compliance Testing Manager (Central Services) (2912)

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Work Location:

Toronto, Ontario, Canada

Hours

37.5

Line Of Business

Compliance

Pay Details

$91,200 - $136,800 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description

Department Overview

Responsibilities

The Compliance Testing – Central Services team supports Compliance Testing teams on their mandate to execute 2nd Line of Defence testing and monitoring activities on behalf of Compliance Units by providing governance and oversight for central elements of the Compliance Testing program. Our responsibilities include:

• Developing and maintaining Regulatory Compliance Management (RCM) monitoring and testing standards and guidelines.
• Working with enterprise-level stakeholders to evolve the monitoring and testing standards and guidelines in line with regulatory expectations and sound practices.
• Developing and evolving detailed monitoring and testing processes consistent with the monitoring and testing standards and guidelines.
• Advising on the implementation of the monitoring and testing standards, guidelines and process effectively.
• Leading the annual monitoring and testing planning process.
• Reporting on monitoring and testing activities.
• Developing and facilitating learning and development activities focused on testing and monitoring standards, guidelines and processes.
• Internal Audit and regulatory exam management.
• Recommending and implementing automation and process improvement activities along with other strategic and operational initiatives to support Compliance Testing.
  
  

Job Description Summary

Reporting to the Senior Manager, Compliance Testing - Central Services, the Compliance Testing Manager will support the development and delivery of key accountabilities of the Compliance Testing - Central Services team as noted above.

The Compliance Testing Manager Will

• Assist in the development of Compliance Testing standards, guidelines and processes s related to Regulatory Compliance Management (RCM) M&T Develop and facilitate training related to the above standards, guidelines and processes
• Assist in the development of the annual monitoring and testing plan, acting as a primary contact for key stakeholders throughout the annual planning process
• Develop Board, subsidiary and senior management reporting of RCM M&T activities
• Coordinate audit and regulatory requests pertaining to Compliance Testing
• Provide monitoring and testing subject matter expertise to stakeholders on RCM M&T
• Proactively contribute to team processes and projects
• Seek process improvements and more efficient ways to deliver value to our stakeholders
• Assist in special projects/tasks, as required
  
  

Job Requirements

• 5+ years of relevant experience in the financial services industry; experience in Audit or Compliance preferred
• University degree and CPA/CA designation is required; CIA or other relevant professional designations would be an asset
• Significant control testing/Audit experience is required; RCM testing and monitoring experience would be an asset
• Exceptional communication skills (both written and verbal) with the ability to draft superior quality analyses
• Ability to work independently, apply critical and strategic thinking to issues and make timely decisions
• Ability to read and interpret regulations as well as understand how the regulations may impact RCM M&T standards, guidelines and processes.
• Strong problem solving skills and ability to recommend value-added solutions
• Strong relationship management skills and ability to work effectively with multiple stakeholders
• Strong organizational skills, with the ability to work in a fast-paced environment and manage multiple deadlines and priorities
• Strong attention to detail
• Technology aptitude and skills will be an asset
  
  

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec Only)

Sans Objet

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Quality Assurance

• Industries

  Banking

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