Senior Manager, Compliance Validations

Work Location

Charlotte, Caroline du Nord, États-Unis d'Amérique

40

$115,440 - $173,160 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  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.

Conformité

Why Work with Us?
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day‑to‑day operations and in the design of a future‑focused compliance program.

This is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.

The ideal candidate will thrive in a fast‑paced, start‑up‑like setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day‑to‑day operations while also helping design and implement a forward‑thinking compliance program for the future.
Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

U.S. Compliance Monitoring and Testing sits within second line Compliance and is responsible for the execution of independent, risk‑based compliance testing and validation activities to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations.

Issue validations are the independent assessment of the appropriateness, completeness, effectiveness, and sustainability of corrective actions taken to address situations defined as issues.

The Senior Compliance Testing Manager is responsible for strategic planning and overseeing validations of issues identified by first and second line and tied to compliance risk. This role provides subject matter expertise on Compliance controls/processes and testing and validation execution and is responsible for managing the inventory of issue validations to be performed.

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.