Senior Compliance Testing Analyst

Work Location

Charlotte, North Carolina, United States of America

40

$72,280 - $108,160 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.

Compliance

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.

The Ideal Candidate

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 Program sits within second line Compliance and is responsible for policy and procedures, audit, and regulatory exam requests and quality assurance over U.S. Compliance testing.

The Senior Compliance Testing Analyst is responsible for executing independent testing. This individual will be primarily responsible for performing independent QA Testing of Engagement, 1B Reperformance and Validations Testing. This individual will be primarily responsible for executing independent QA testing of Engagement, 1B Reperformance and Validations Testing but will also serve in a cross functional capacity to assist the broader U.S. Compliance Monitoring and Testing Program Team as needed.

Job Summary

The Senior Compliance Testing Analyst executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes. May assume leadership of a part of the engagement and have responsibility for completion of a phase of the engagement.

• Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters.
• Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws
• Acts as a subject matter expert for regulations applicable to business partners and provides…