Senior Manager, Compliance Testing

Work Location:

Greenville, South Carolina, United States of America

Hours:

40

Pay Details:

$110,760 - $166,400 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.

Line of Business:

Compliance

Job Description:

Department Overview:

U.S. Compliance Testing (USCT) is a centralized compliance testing team within the Compliance Department that conducts independent, risk-based compliance testing to assess the effectiveness of operational procedures and key controls over regulatory compliance. 

This Compliance Testing Manager role will play a key part in the Bank's second line Compliance oversight over the validation of regulatory compliance issues.  This role will be directly responsible for leading execution of ongoing validation of regulatory compliance issues.  Testing will specifically assess compliance with applicable consumer protection laws, rules, and regulations (e.g., Reg. B, Equal Credit Opportunity Act; Reg. Z, Truth in Lending Act; Reg. X, Real Estate Settlement Procedures Act; Reg. DD, Truth in Savings; Reg. V, Fair Credit Reporting Act; Servicemembers Civil Relief Act; UDAAP; etc.).  

The role will work closely with other colleagues across the Compliance Department and will routinely interact with business line management from both the first and second lines to strengthen the overall Compliance Management System at TD Bank.  

Prior testing, audit or business operations experience in areas involving regulatory compliance will be vital to successfully performing this role.

Please review the preferred background & experience section below as you consider this opportunity.

The above details are specific to the role which is outlined in the general summary below.

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 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

Education & Experience:

• Undergraduate degree or equivalent work experience
• 10+ years of experience

Preferred Background & Experience:

• Prior testing, audit or business operations experience in areas involving regulatory compliance.
• Prior experience with execution of testing or audit activities, specifically with regards to findings and issues management.