Senior Manager, Compliance Testing – Wealth Compliance
Listed on 2026-01-28
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Management
Regulatory Compliance Specialist, Risk Manager/Analyst
Work Location:
Mount Laurel, New Jersey, United States of America
Hours:40
Pay Details:$115,440 – $186,160 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.
Line of Business:Compliance
Job Description: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 not just about implementing a new program — it’s about creating a culture of compliance that will cascade throughout the organization.
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
Undergraduate degree or equivalent work experience
10+ years of experience
- Experience with testing SEC, FINRA, MSRB and state securities regulatory requirements;
Regulation 9 (bank fiduciary regulatory requirements); state insurance (annuities and life insurance) regulatory requirements.
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…
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