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TD · 4 hours ago

Senior Manager, Compliance Monitoring and Testing Program (US)

Charlotte, North Carolina

Full-time

Onsite

Senior Level, Lead/Staff

$115K/yr - $173K/yr

10+ years exp

TD Bank is one of the world's leading global financial institutions, and they are seeking a Senior Manager for their Compliance Monitoring and Testing Program. In this role, you will oversee and develop teams conducting independent compliance testing, ensuring adherence to regulatory requirements and operational effectiveness while providing leadership and strategic direction.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

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

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

Qualification

Compliance Testing ManagementRegulatory Compliance ExperienceTeam LeadershipAnalytical SkillsMicrosoft Office ProficiencyCRCM CertificationProject ManagementManage Multiple TasksCommunication SkillsDetail OrientedTime Management

Required

Undergraduate degree or equivalent work experience

10+ years of experience

Preferred

Prior experience managing 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

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

CRCM certification preferred

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