Compliance Testing Manager (Central Services) (2+12)

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.

Job Description:

Department Overview

The Compliance Testing – Central Services team supports Compliance Testing teams on their mandate to execute 2nd Line of Defence testing and monitoring activities on behalf of Compliance Units by providing governance and oversight for central elements of the Compliance Testing program. Our responsibilities include:

Developing and maintaining Regulatory Compliance Management (RCM) monitoring and testing standards and guidelines.

Working with enterprise-level stakeholders to evolve the monitoring and testing standards and guidelines in line with regulatory expectations and sound practices.

Developing and evolving detailed monitoring and testing processes consistent with the monitoring and testing standards and guidelines.

Advising on the implementation of the monitoring and testing standards, guidelines and process effectively.

Leading the annual monitoring and testing planning process.

Reporting on monitoring and testing activities.

Developing and facilitating learning and development activities focused on testing and monitoring standards, guidelines and processes.

Internal Audit and regulatory exam management.

Recommending and implementing automation and process improvement activities along with other strategic and operational initiatives to support Compliance Testing.

Job Description Summary

Reporting to the Senior Manager, Compliance Testing - Central Services, the Compliance Testing Manager will support the development and delivery of key accountabilities of the Compliance Testing - Central Services team as noted above.

The Compliance Testing Manager will:

Assist in the development of Compliance Testing standards, guidelines and processes s related to Regulatory Compliance Management (RCM) MT Develop and facilitate training related to the above standards, guidelines and processes

Assist in the development of the annual monitoring and testing plan, acting as a primary contact for key stakeholders throughout the annual planning process

Develop Board, subsidiary and senior management reporting of RCM MT activities

Coordinate audit and regulatory requests pertaining to Compliance Testing

Provide monitoring and testing subject matter expertise to stakeholders on RCM MT

Proactively contribute to team processes and projects

Seek process improvements and more efficient ways to deliver value to our stakeholders

Assist in special projects/tasks, as required

Job Requirements

5+ years of relevant experience in the financial services industry; experience in Audit or Compliance preferred

University degree and CPA/CA designation is required; CIA or other relevant professional designations would be an asset

Significant control testing/Audit experience is required; RCM testing and monitoring experience would be an asset

Exceptional communication skills (both written and verbal) with the ability to draft superior quality analyses

Ability to work independently, apply critical and strategic thinking to issues and make timely decisions

Ability to read and interpret regulations as well as understand how the regulations may impact RCM MT standards, guidelines and processes.

Strong problem solving skills and ability to recommend value-added solutions

Strong relationship management skills and ability to work effectively with multiple stakeholders

Strong organizational skills, with the ability to work in a fast-paced environment and manage multiple deadlines and priorities

Strong attention to detail

Technology aptitude and skills will be an asset

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than +5,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.


Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.


Training Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.


Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you! Read more