Senior Compliance QA Lead

TD Bank, N.A.; Charlotte (NC); Hybrid; USD 87,000 - 139,000; Full time

Job summary

TD Bank US Compliance is seeking a Compliance Testing Manager to lead independent testing of controls and advise on policy and process improvements. The role involves planning, executing testing engagements, and guiding teams within a hybrid office model in Charlotte.

Candidates should have undergraduate degree and 7+ years of internal audit or QA experience, CPA/CIA/CFE/CRCM or equivalent, and strong Excel/PowerPoint skills to support risk-based assessments.

Qualifications

• 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 and risk management.
• Expertise in policy advisory, change management and project management.
• Strong Excel and PowerPoint skills.
• Clear and concise verbal and written communication.

Responsibilities

• Executes and manages testing activities to meet standards and timelines.
• Conducts follow-up on testing findings per standards.
• Performs research and analysis as part of testing engagements.
• Understands risk identification, analysis and mitigation per regulatory requirements.
• Develops relationships with partners and leads testing engagements.
• Provides guidance and direction to team members and stakeholders.
• Escalates issues and identifies opportunities for improvement.
• Maintains adherence to internal policies and enterprise frameworks.

Skills

CPA

CIA

CFE

CRCM

Internal audit

Regulatory knowledge

Policy advisory

Change management

Project management

Communication

Education

Bachelor's degree

Tools

MS Office (Excel, PowerPoint)

Job description

TD Bank US Compliance is seeking a Compliance Testing Manager to lead independent testing of controls and advise on policy and process improvements. The role involves planning, executing testing engagements, and guiding teams within a hybrid office model in Charlotte.

Candidates should have undergraduate degree and 7+ years of internal audit or QA experience, CPA/CIA/CFE/CRCM or equivalent, and strong Excel/PowerPoint skills to support risk-based assessments.