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) M&T 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 M&T activities
• Coordinate audit and regulatory requests pertaining to Compliance Testing
• Provide monitoring and testing subject matter expertise to stakeholders on RCM M&T
• 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 M&T 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 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.

• 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