Senior Compliance Testing Analyst (US)

Work Location Charlotte, North Carolina, United States of America Hours 40 hours per week Pay Details $72,280 - $117,520 USD Job Summary The Senior Compliance Testing Analyst executes independent testing and validations to assess regulatory compliance of businesses and operational units across TD Bank. The role provides expertise on compliance controls and processes, leads parts of engagements, and writes findings for business lines and senior management. Responsibilities Execute independent testing and validations in accordance with approved methodology. Conduct issue validations and provide guidance on corrective actions. Research, review, and maintain expertise on banking regulations, laws, policies, and consumer protection regulations. Develop test steps to evaluate business lines against regulatory requirements. Perform complex analysis and testing of controls and processes. Summarize testing results and identify improvement opportunities. Assist management in writing findings and presenting them to business line staff and senior management. Oversee and independently perform work from intake to completion. Execute more complex or non‑standard assignments as requested. Collaborate with compliance and business line partners throughout engagements. Identify potential errors and execute validation of findings raised from testing engagements. Proactively identify matters requiring additional attention, escalation, or review. Document research and findings clearly and concisely. Maintain a culture of risk management and control aligned with risk appetite. Qualifications Undergraduate degree or equivalent work experience. 5+ years of experience in testing, audit, or business operations involving regulatory compliance. Detail oriented with 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. FINRA Series 7, 63 and 24 preferred. Accountabilities Customer: Execute testing engagement work to completion within target timelines; conduct analytical research; collaborate with compliance and business line partners; identify potential errors and execute validation; proactively identify matters for escalation; document research and findings; keep abreast of regulatory trends and changes. Shareholder: Prioritize and manage workload to deliver quality results; contribute to analysis, due diligence, and implementation of initiatives; adhere to internal policies and regulatory requirements; support improvements to the Compliance Management System; clearly communicate results to management and stakeholders. Employee/Team: Participate fully as a member of the team; support a positive work environment; provide thought leadership and industry knowledge; keep current on emerging trends and develop expertise; participate in performance management and development activities; mentor and coach as appropriate; lead and develop relationships with stakeholders; contribute to an equitable and inclusive environment. Physical Requirements Perform sedentary office work; occasional lifting of under 25 lbs.; occasional walking and standing. Equal Opportunity Employer TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at View email address on click.appcast.io. #J-18808-Ljbffr TD Bank, N.A.