Senior Manager, Compliance Testing (US)

TD Bank Group; Charlotte (NC); Hybrid; USD 125,000 - 190,000; Full time

Job summary

TD Bank Group in Charlotte, NC seeks a senior Compliance Testing leader to drive the end-to-end testing program, guiding teams, scheduling engagements, and reporting results to senior management. You will steer risk assessments, maintain regulatory alignment, and implement continuous improvements within the program.

The role requires 10+ years in compliance/audit, strong analytical capabilities, and the ability to collaborate with executives to advance the bank's governance framework and testing

Qualifications

• Undergraduate degree or equivalent work experience.
• 10+ years of experience in compliance or audit, regulatory environment.
• Knowledge of regulatory expectations and enterprise governance in compliance programs.
• Ability to research, interpret and summarize regulatory requirements and impacts.

Responsibilities

• Lead teams of compliance testing specialists to execute engagements.
• Develop and track compliance testing schedules and action plans.
• Provide guidance to management on compliance issues and trends.
• Identify opportunities for continuous improvement in the Compliance Testing Program.

Skills

Leadership

Compliance testing

Risk management

Regulatory knowledge

Data analysis

Communication with execs

Tableau

MS Office

AI tools (Co-Pilot)

Education

Undergraduate degree or equivalent work experience

Tools

Tableau

MS Office

MS Copilot / AI tools

Job description

page for more information.* 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* Undergraduate degree or equivalent work experience* 10+ years of experience* Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements* Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems* Knowledge and experience with risk management environment, standards, and regulations* Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements* Skill in using computer applications including MS Office* Use in AI including MS Co-Pilot* Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques* Ability to independently identify, assess, and escalate issues requiring senior management attention* Tableau or similar skills preferred, but not required* CRCM preferred, but not required* 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* Domestic Travel - Occasional* International Travel - Never* Performing sedentary work - Continuous* Performing multiple tasks - Continuous* Operating standard office equipment - Continuous* Responding quickly to sounds - Occasional* Sitting - Continuous* Standing - Occasional* Walking - Occasional* Moving safely in confined spaces - Occasional* Lifting/Carrying (under 25 lbs.) - Occasional* Lifting/Carrying (over 25 lbs.) - Never* Squatting - Occasional* Bending - Occasional* Kneeling - Never* Crawling - Never* Climbing - Never* Reaching overhead - Never* Reaching forward - Occasional* Pushing - Never* Pulling - Never* Twisting - Never* Concentrating for long periods of time - Continuous* Applying common sense to deal with problems involving standardized situations - Continuous* Reading, writing and comprehending instructions - Continuous* Adding, subtracting, multiplying and dividing - Continuous**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.**Colleague Development****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