Senior Manager, Compliance Validations (US)

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

Job summary

TD Bank is hiring a Senior Manager, Compliance Testing to lead and develop teams conducting independent compliance testing across regulatory requirements. You will guide testing programs, advise on controls, and help shape the future of the bank's compliance framework with an entrepreneurial mindset.

The role emphasizes strategic leadership, scalability, and collaboration with cross-functional teams to ensure effective testing and remediation of issues within the bank's compliance program.

Responsibilities

• Oversee strategic planning and validations of issues identified by first/second line to assess compliance risk.
• Provide subject matter expertise on compliance controls, testing, and validation execution.

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.

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.

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 and Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing and validation activities to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations. Issue validations are the independent assessment of the appropriateness, completeness, effectiveness, and sustainability of corrective actions taken to address situations defined as issues.

Duties

• The Senior Compliance Testing Manager is responsible for strategic planning and overseeing validations of issues identified by first and second line and tied to compliance risk. This role provides subject matter expertise on Compliance controls/processes and testing and validation execution and is responsible for managing the inventory of issue validations to be performed.

Job Summary

The Senior Manager, Compliance Testing oversees and develops team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements. This role provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group. Provides assistance/expertise to other Compliance testing teams as appropriate.

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 requiredResponsible for the timely execution of the Compliance testing planTypically deals with senior/executive management in communicating Compliance testing resultsLeverages 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 engagementsProvides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals casca