Compliance Testing Manager (US)

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Ces témoins n’enregistrent pas de renseignements personnels permettant l’identification.* 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* **Undergraduate degree or equivalent work experience*** **7+ years of experience*** **Prior testing, audit or business operations experience in areas involving regulatory compliance.*** **Prior experience with execution of testing, validation or audit activities.*** **Detail oriented and well-developed organizational, time management and project management skills.*** **Strong verbal and written communication skills.*** **Ability to manage multiple tasks and competing priorities.*** **Proficiency with Microsoft Office applications.*** **CRCM certification preferred.*** **Knowledge and experience with risk management environment, standards, and regulations.*** **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirements.*** **Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems.*** **Ability to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elements.*** **Skill in using computer applications including MS Office and Tableau.*** **Skill in using advanced analytical software tools, data analysis methods and specialized reporting techniques.*** **Ability to independently identify, assess, and escalate issues requiring senior management attention.*** 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* 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* 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* 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**Additional #J-18808-Ljbffr TD Bank