Senior Manager, Compliance Monitoring and Testing Program

Position: Senior Manager, Compliance Monitoring and Testing Program (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 Team

Summary:

**** 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 US Compliance monitoring oversight.  This role provides subject matter expertise on Compliance controls/processes and monitoring development and execution and is responsible for overseeing the development and execution of monitoring activities performed by compliance units.
***
* 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…