TD Securities ยท 22 hours ago
Senior Compliance Testing Analyst (US)
Charlotte, NC
Full-time
Onsite
Senior Level
$72K/yr - $108K/yr
5+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Senior Compliance Testing Analyst to execute independent testing of compliance controls across the bank. The role involves managing day-to-day operations while assisting in designing and implementing a forward-thinking compliance program.
BankingFinanceFinancial Services
Responsibilities
The Senior Compliance Testing Analyst is responsible for executing independent testing and validations as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Monitoring and Testing's approved testing and validation methodology
This individual will be primarily responsible for performing issue validations as part of a larger testing and validation team but will also serve in a cross functional capacity to assist in testing when needed
Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters
Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws
Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners' compliance with such regulations directly related to the operations of the business
Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines
Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management
Oversees and/or independently performs assigned work from end to end
Executes more complex and/or non-standard assignments as requested
Executes testing engagement work in accordance with established standards to achieve completion within target timelines
Conducts skilled analytical research and analysis as part of the testing engagement and initiatives
Works collaboratively with key Compliance and business line partners throughout the testing engagement
Identifies potential errors following testing standards
Executes validation of findings raised from testing engagements in accordance with established standards
Proactively identifies matters which require additional attention, further escalation, or review
Prioritizes and manages own workload to deliver quality results and meet assigned timelines
Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility
Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System
Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement
Clearly and concisely documents research as required to understand requirements specific to an engagement
Keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards
Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to the client
Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences, and leveraging best practices. May provide coaching to other team members as appropriate
Leads, motivates, and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Qualification
Required
Undergraduate degree or equivalent work experience
5+ years of experience
Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters
Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws
Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners' compliance with such regulations directly related to the operations of the business
Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines
Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management
Oversees and/or independently performs assigned work from end to end
Executes more complex and/or non-standard assignments as requested
Preferred
Prior testing, audit or business operations experience in areas involving regulatory compliance
Prior experience with execution of testing, validation or audit activities
Detail oriented and well-developed organizational, time management and project management skills
Strong verbal and written communication skills
Ability to manage multiple tasks and competing priorities
Proficiency with Microsoft Office applications
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
2026-01-06
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