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TD · 4 days ago

Compliance Testing Manager (US)

Charlotte, NC

Full-time

Onsite

Senior Level

$91K/yr - $136K/yr

7+ years exp

TD is one of the world's leading global financial institutions, and they are seeking a Compliance Testing Manager to oversee independent compliance testing and validations. The role involves providing subject matter expertise on compliance controls and processes, while managing day-to-day operations and leading testing engagements.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

The Compliance Testing Manager is responsible for planning and overseeing independent Compliance testing completed by specialists

May execute some independent testing as applicable

This role provides subject matter expertise on Compliance controls/processes and is responsible for leading all phases of the assigned testing engagement

Works independently and be accountable for acting as a lead in executing engagements and provides work direction to others on those engagements

Considered subject matter expert in Compliance testing methodologies

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

Advanced knowledge of external competition, industry and/or market trends in relation to own function/business

Scope of role may have enterprise impact

Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise

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

May act as highest point of team escalation for resolution and provides direction to resolve issues or escalates

Executes and manages testing activities in accordance with established standards and strategic direction to achieve completion within target timelines

Executes follow-up on findings raised from testing engagements in accordance with established standards

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

Understands risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices

Develops strong relationships and works collaboratively with key partners

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

Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization

Proactively identifies matters which require additional attention, further escalation, or review, and liaises with the appropriate staff to resolve

Prioritizes and manages workload to deliver quality results and meet testing timelines

Contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies for area of responsibility

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

Clearly and concisely documents research as required to understand requirements specific to an engagement

Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk transactions/activities as necessary

Applies subject matter expertise in the discipline, provides guidance, assistance, and direction to others

Actively manages relationships within and across various business lines, corporate and/or control functions, and drives alignment with enterprise and/or regulatory requirements

Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where required

Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations

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

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

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

Compliance testing methodologiesRegulatory compliance experienceProject management skillsCRCM certificationRisk management knowledgeData analysis methodsMicrosoft Office proficiencyAnalytical research skillsCommunication skillsDetail orientedOrganizational skillsTeam collaborationTime management

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