Senior Manager, Compliance Testing (US)

TD Bank; Charlotte (NC); On-site; USD 115,000 - 173,000; Full time

Job summary

TD Bank is seeking a Senior Manager, Compliance Testing in Charlotte, NC to lead the U.S. Compliance Monitoring & Testing team. You will drive independent testing activities, partner with business and Compliance stakeholders, and ensure testing quality aligns with regulatory standards.

The role requires strategic leadership, hands-on management, and the ability to navigate a fast-paced, evolving environment while developing talent and shaping enterprise-wide reviews and initiatives.

Qualifications

• Bachelor's degree or equivalent work experience.
• 10+ years of experience in compliance or related field.
• Experience leading compliance testing teams and overseeing complex engagements.

Responsibilities

• Lead teams responsible for independent compliance testing activities.
• Provide strategic leadership, oversight, and talent development.
• Collaborate with business and Compliance stakeholders to drive testing quality.
• Manage testing plans, timelines, and resources to ensure timely delivery.
• Communicate results to senior/executive management and address risks.
• Guide priority setting and continuous improvement for the testing program.

Skills

People management

Leadership

Strategic thinking

Regulatory compliance

Stakeholder management

Education

Undergraduate degree or equivalent work experience

Job description

Work Location: Charlotte, North Carolina, United States of America

Hours: 40

Pay Details: $115,440 - $173,160 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.

Line of Business:

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.

The Ideal Candidate

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we're looking for someone with an entrepreneurial mindset-someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

U.S. Compliance Monitoring and Testing Team Summary:

U.S. Compliance Monitoring & Testing, within Second Line Compliance, executes independent, risk-based compliance testing and validation activities to assess the effectiveness of controls and processes designed to meet regulatory requirements. Testing evaluates compliance with applicable laws, rules, and regulations, while issue validations independently assess the effectiveness and sustainability of corrective actions implemented to address identified compliance issues.

Job Summary:

The Senior Manager, Compliance Testing leads teams responsible for independent compliance testing activities. This role provides strategic leadership, oversight, and talent development to ensure effective risk-based testing and compliance with regulatory and internal standards. The Senior Manager works closely with business and Compliance stakeholders to drive testing quality, address emerging risks, and support enterprise-wide reviews and strategic initiatives, as needed.

Depth & Scope:

• 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

Education & Experience:

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

Desired Qualifications:

• Experience leading compliance testing teams and overseeing complex testing engagements and issue val