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TD · 5 days ago

Compliance Testing Manager (US)

Greenville Campus Building B - 200 Carolina Point Parkway, Greenville, South Carolina

Full-time

Onsite

Senior Level

7+ years exp

TD Bank is one of the world's leading global financial institutions, committed to building a more resilient compliance risk management function. The Compliance Testing Manager will oversee independent compliance testing and validations, providing subject matter expertise and leading engagements to ensure compliance with regulatory standards.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Planning and overseeing independent Compliance testing and validations completed by specialists

Executing some independent testing as applicable

Providing subject matter expertise on Compliance controls/processes

Leading all phases of the assigned testing or validation engagement

Working independently and being accountable for acting as a lead in executing engagements

Providing subject matter expertise and/or guidance to various stakeholders and team members

Completing a variety of complex projects and initiatives requiring specialist knowledge

Independently performing concurrent multiple reviews and related tasks from end to end

Acting as the highest point of team escalation for resolution and providing direction to resolve issues or escalates

Executing and managing testing activities in accordance with established standards and strategic direction

Conducting skilled analytical research and analysis as part of testing engagement and initiatives

Developing strong relationships and working collaboratively with key partners

Overseeing/leads the testing engagement, including communications and the reporting processes

Proactively identifying matters which require additional attention, further escalation, or review

Prioritizing and managing workload to deliver quality results and meet testing timelines

Contributing to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies

Adhering to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines

Documenting research as required to understand requirements specific to an engagement

Protecting the interests of the organization – identifying and managing risks, and escalating non-standard, high risk transactions/activities as necessary

Applying subject matter expertise in the discipline, providing guidance, assistance, and direction to others

Actively managing relationships within and across various business lines, corporate and/or control functions

Assessing/identifying key issues and escalating to appropriate levels and relevant stakeholders where required

Participating in cross-functional/enterprise initiatives as a subject matter expert

Keeping abreast of emerging issues, trends, and evolving regulatory requirements and assessing potential impacts to the Bank

Maintaining a culture of risk management and control, supported by effective processes in alignment with risk appetite

Participating fully as a member of the team, supporting a positive work environment

Providing thought leadership and/or industry knowledge for own area of expertise

Keeping current on emerging trends/developments and grows knowledge of the business

Participating in personal performance management and development activities

Keeping others informed and up-to-date about the status/progress of projects

Contributing to team development of skills and capabilities through mentorship of others

Leading, motivating and developing relationships with internal and external business partners/stakeholders

Contributing to a fair, positive and equitable environment that supports a diverse workforce

Acting as a brand ambassador for your business area/function and the bank

Qualification

Compliance testing methodologiesRegulatory compliance experienceProject management skillsCRCM certificationRisk management knowledgeAnalytical software toolsMicrosoft Office proficiencyManage tasksCommunication skillsDetail-oriented

Required

Undergraduate degree or equivalent work experience

7+ years of experience

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

Knowledge and experience with risk management environment, standards, and regulations

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

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 and Tableau

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