Senior Compliance Testing Lead

TD; Charlotte (NC); On-site; USD 72,000 - 118,000; Full time

Job summary

TD Bank US Compliance is seeking a Senior Compliance Testing Analyst to execute independent testing of controls across assigned business units in the second line of defense. This role focuses on evaluating regulatory compliance, documenting findings, and ensuring effective control environments.

You will lead issue validations, develop test steps, and collaborate with stakeholders to strengthen regulatory compliance programs and support ongoing risk management initiatives.

Qualifications

• Undergraduate degree or equivalent work experience.
• 5+ years of experience in testing, audit or compliance.
• Experience with regulatory testing and controls preferred.

Responsibilities

• Execute independent testing and validations of compliance controls.
• Develop test steps and perform complex analysis of business line controls.
• Summarize testing results and identify areas for improvement with management.
• Lead portions of engagements and collaborate across teams.

Skills

Communication skills

Detail oriented

Time management

Microsoft Office

FINRA licenses

Education

Undergraduate degree or equivalent

Job description

TD Bank US Compliance is seeking a Senior Compliance Testing Analyst to execute independent testing of controls across assigned business units in the second line of defense. This role focuses on evaluating regulatory compliance, documenting findings, and ensuring effective control environments.

You will lead issue validations, develop test steps, and collaborate with stakeholders to strengthen regulatory compliance programs and support ongoing risk management initiatives.