Work Location :Brooklyn Park, Minnesota, United States of AmericaHours:40Line of Business:CompliancePay Detail:$86,840 - $139,360 USDTD 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: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.Location: Brooklyn Park, Minnesota - HybridDepth & 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
Education & Experience:
Undergraduate degree or equivalent work experience
7+ years of experience
Prior experience with QA/QC preferred
Regulatory experience preferred
Credit card experience preferred
Fiserv experience preferred
Customer Accountabilities:
Executes and manages testing activities in accordance with established standards and strategic direction to achieve completion within target timelines
Executes follow-up on findings raised from testing engagements in accordance with established standards
Conducts skilled analytical research and analysis as part of testing engagement and initiatives
Understands risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices
Develops strong relationships and works collaboratively with key partners
Oversees/leads the testing engagement, including communications and the reporting processes
Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization
Proactively identifies matters which require additional attention, further escalation, or review, and liaises with the appropriate staff to resolve
Shareholder Accountabilities:
Prioritizes and manages workload to deliver quality results and meet testing timelines
Contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies for area of responsibility
Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines
Clearly and concisely documents research as required to understand requirements specific to an engagement
Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk transactions/activities as necessary
Applies subject matter expertise in the discipline, provides guidance, assistance, and direction to others
Actively manages relationships within and across various business lines, corporate and/or control functions, and drives alignment with enterprise and/or regulatory requirements
Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where required
Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
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:
Participates fully as a member of the team, supports a positive work environment that promotes service to the business, quality, innovation and teamwork and promotes timely communication of issues/points of interest
Provides thought leadership and/or industry knowledge for own area of expertise in own area and participates in knowledge transfer within the team and business unit
Keeps current on emerging trends/developments and grows knowledge of the business, related tools and techniques
Participates in personal performance management and development activities, including cross training within own team
Keeps others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities
Contributes to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices
Leads, motivates and develops relationships with internal and external business partners/stakeholders to develop productive working relationships
Contributes to a fair, positive and equitable environment that supports a diverse workforce
Acts as a brand ambassador for your business area/function and the bank, both internally and/or externally
Physical Requirements:Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.Who We AreTD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.Our Total Rewards PackageOur 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 DevelopmentIf 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 & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’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.AccommodationIf 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.
