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TD Bank Senior Manager, Compliance Testing (Audit and External Exam Management) in Monroe, Ohio

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$110,760 - $178,880 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.

Line of Business:

Compliance

Job Description:

The Senior Manager Testing and Coordination (Audit and External Exam Management) will lead internal (e.g., Audit) and external testing engagements for the Financial Crimes line of business. This role provides end-to-end support to testing engagement to front line units, including providing relevant subject matter expertise to substantive components of the work, and is responsible for leading all aspect of testing engagements.

This is a Remote career opportunity.

Monday-Friday 8:00am to 5:00pm (Exempt Role)

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 processes

  • Key contact for dealing with a range of complex issues, including non-routine information

  • Manages and prioritizes the team to deliver on multiple reviews and projects at a given time

  • Identifies and leads problem resolution for project/program complex requirements related issues at all levels

Education & Experience:

  • Undergraduate degree or equivalent work experience

  • 10+ years of experience

Customer Accountabilities:

  • Manages teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards

  • Conducts skilled analytical research and analysis as part of the testing engagement and initiatives

  • Develops, implements, tracks, and reports on Compliance testing schedules

  • Provides overall strategic direction to support the Compliance Testing Program, Procedures, and processes so that they stay current with established standards and regulatory expectations

  • Acts as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams for area of specialization

  • Reports on emerging trends, identifying risks and opportunities, and recommending action to senior management

  • Understands risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best business practices

  • Supports relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as needed

  • Provides functional/business level communications to stakeholders and/or leaders that are consistent, appropriate, and aligned with strategic direction

Shareholder Accountabilities:

  • Works closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scale

  • Plans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordingly

  • Maintains extensive knowledge of business units and regulatory requirements/compliance issues within the Compliance area

  • Provides subject matter expertise, complex analysis and advice to business partners/team and applies knowledge in following up on outcomes, investigating and/or enforcing policy

  • Identifies and implements opportunities for continuous improvement in the Compliance Testing Program

  • Leads relationships with business lines/corporate and/or control functions to promote alignment with enterprise and/or regulatory requirements

  • Supports team and management in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank

  • Assesses/identifies key issues and escalates to management where required

  • Supports the facilitation of action/remediation plans as a result of an internal audit and/or regulator review of Compliance Testing Program

  • 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:

  • Responsible for management of the overall team providing both leadership and guidance

  • Sets targets and objectives for the team, and delivers results

  • Grows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value delivered

  • Leads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employees

  • Leads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely manner

  • Manages employees in compliance with all human resources policies, procedures and guidelines of conduct

  • Shares knowledge, information, skills, and subject matter expertise among the team and promotes the timely communication of issues and encourages good working relationships with other functions and teams

  • Supports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successes

  • Recruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectives

  • Establishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectives

  • Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally

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 95,000 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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more (http://hrportal.ehr.com/tdtotalrewards)

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.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

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