Compliance Quality Assurance Manager (US)

Compliance Testing Manager

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 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.

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

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