Compliance Quality Assurance Manager (US)

TD Bank; Charlotte (NC); On-site; USD 87,000 - 139,000; Full time

Job summary

TD Bank US Compliance is seeking a Compliance Testing Manager in Charlotte, NC to plan and oversee independent compliance testing and lead all phases of testing engagements. You will act as a subject matter expert in testing methodologies and provide guidance to Risk Owners and Oversight functions while ensuring adherence to policies and standards.

The role requires 7+ years of internal audit/testing experience, a undergraduate degree, and professional certifications such as CPA, CIA, CFE, or

Qualifications

• Undergraduate degree or equivalent work experience.
• 7+ years of internal audit, testing and/or quality assurance experience.
• CPA, CIA, CFE, CRCM or equivalent a plus.
• Knowledge of financial institution laws/regulations and risk management/compliance programs.
• MS Office proficiency, especially Excel and PowerPoint.

Responsibilities

• Plan and oversee independent Compliance testing.
• Lead engagements and provide direction to team members.
• Serve as subject matter expert in Compliance testing methodologies.
• Provide guidance to stakeholders and ensure adherence to standards.
• Possess knowledge of industry trends and risk management in compliance.

Skills

Policy advisory

Change mgmt

Project mgmt

Operations advisory

Excel

Education

Undergraduate degree or equivalent work experience

CPA, CIA, CFE, CRCM or equivalent a plus

Tools

MS Excel

PowerPoint

Job description

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40

Pay Details:

$86,840 - $139,360 USD

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.

Compliance Job Description:

Why Work with Us?

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.

Department Overview

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 Compliance Quality Assurance Manager (US) will execute these reviews and/or perform peer 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. 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 Quality Assurance function. This is not just about implementing a new program - it's about creating a culture of compliance that will cascade throughout the organization.

The above details are specific to the role which is outlined in the general description below. Please review Desired Skills & Experience below as you consider this opportunity.

Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances

Job Description Summary:

The Compliance Testing Manager is responsible for planning and overseeing independent Compliance testing completed by specialists. May execute some independent testing as applicable. This role provides subject matter expertise on Compliance controls/processes and is responsible for leading all phases of the assigned testing engagement.

Depth & Scope:

• Works independently and be accountable for acting as a lead in executing engagements and provides work direction to others on those engagements
• Considered subject matter expert in Compliance testing methodologies
• Provides subject matter expertise and/or guidance to various stakeholders and team members
• Advanced knowledge of external competition, industry and/or market trends in relation to own function/business
• Scope of role may have enterprise impact
• Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
• Independently performs concurrent multiple reviews and related tasks from end to endMay act as highest point of team escalation for resolution and provides direction to resolve issues or escalates

Education & Experience:

• Undergraduate degree or equivalent work experience
• 7+ years of experience

Desired Skills & Experience:

• CPA, CIA, CFE, CRCM or equivalent a plus
• 8+ years of internal audit, testing and/or quality assurance experience
• Knowledge of financial institution laws/regulations, strategies and risk management/compliance programs
• Possesses and demonstrates expertise in the 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 to advance TD's vision and protect the brand
• Strategic critical thinker: has excellent judgment, achieves the right risk/reward balance
• Delivers on objectives, focuse