Compliance Quality Assurance Manager (US)

Compliance Testing Manager

Work Location : Charlotte, North Carolina, United States of America Hours : 40 Pay Details : $86,840 - $139,360 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.

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.

Department Overview

The Compliance Quality Assurance (US) team is responsible for providing independent quality assurance of compliance risk through the execution of reviews. These reviews assess whether Risk Owners and Oversight functions are complying with established policies, standards and procedures. The Compliance Quality Assurance Manager (US) will execute these reviews and / or perform peer reviews. This role will play a key role in providing strategic guidance that reshapes Compliance's structures and processes. We're counted on to provide recommendations to enhance operational performance, foster meaningful process improvements and ensure adherence to internal policies, standards and procedures. 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 Quality Assurance function. This is not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization.

Our team currently operates under a hybrid work model, with employees expected to work in the office two days per week. Starting in November 2025, this expectation will increase to four days per week. Please note that, due to limited office space, the exact timing of this transition may vary depending on availability and individual circumstances.

Job Description Summary

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.

Depth & Scope

• 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

Education & Experience

Undergraduate degree or equivalent work experience 7+ years of experience

Desired Skills & Experience

CPA, CIA, CFE, CRCM or equivalent a plus 8+ years of internal audit, testing and / or quality assurance experience Knowledge of financial institution laws / regulations, strategies and risk management / compliance programs Possesses and demonstrates expertise in the advisory of policy, change management, project management and operations Skilled in using computer applications including MS Office suite, with a focus on Excel and PowerPoint High personal and professional integrity and standards to advance TD's vision and protect the brand Strategic critical thinker : has excellent judgment, achieves the right risk / reward balance Delivers on objectives, focuses on what matters and can work across silos to build effective working relationships Clear and concise verbal and written communication skills

Customer Accountabilities

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

Shareholder Accountabilities

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

Employee / Team Accountabilities

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

Physical Requirements

Never : 0%; Occasional : 1-33%; Frequent : 34-66%; Continuous : 67-100% Domestic Travel Occasional International Travel Never Performing sedentary work Continuous Performing multiple tasks Continuous Operating standard office equipment - Continuous Responding quickly to sounds Occasional Sitting Continuous Standing Occasional Walking Occasional Moving safely in confined spaces Occasional Lifting / Carrying (under 25 lbs.) Occasional Lifting / Carrying (over 25 lbs.) Never Squatting Occasional Bending Occasional Kneeling Never Crawling Never Climbing Never Reaching overhead Never Reaching forward Occasional Pushing Never Pulling Never Twisting Never Concentrating for long periods of time Continuous Applying common sense to deal with problems involving standardized situations Continuous Reading, writing and comprehending instructions Continuous Adding, subtracting, multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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