Senior Compliance Testing Manager
TD
Lead risk-based compliance testing for TD Securities in Toronto, applying regulatory expertise, oversight, and strategic judgment to complex reviews.The Senior Manager, Compliance Testing Team Lead directs Compliance Monitoring & Testing activities within TD Securities Inc. You will manage four to five testers while partnering with Compliance leadership and business stakeholders. The work covers testing methodology, issue remediation, regulatory requirements, data analytics, and executive reporting.Key Responsibilities:
Develop, design, and execute the annual Compliance Test PlanManage, coach, develop, and evaluate four to five testersOversee testing scopes, fieldwork, findings, documentation, and reportingReview testing evidence, workpapers, conclusions, and issue rationaleOversee issue remediation, validation, metrics, and reporting activitiesRequirements:
Ten or more years in Compliance, Risk, Audit, or related control functionsUniversity degree;
JD, MBA, Master’s, or certifications considered assetsStrong Compliance Monitoring and Testing methodology knowledgeDeep Canadian wholesale banking and capital markets knowledgeExperience leading risk-based testing engagements and remediation validationBring compliance testing leadership, regulatory expertise, analytical judgment, and stakeholder influence to TD Securities’ Toronto team.
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Develop, design, and execute the annual Compliance Test PlanManage, coach, develop, and evaluate four to five testersOversee testing scopes, fieldwork, findings, documentation, and reportingReview testing evidence, workpapers, conclusions, and issue rationaleOversee issue remediation, validation, metrics, and reporting activitiesRequirements:
Ten or more years in Compliance, Risk, Audit, or related control functionsUniversity degree;
JD, MBA, Master’s, or certifications considered assetsStrong Compliance Monitoring and Testing methodology knowledgeDeep Canadian wholesale banking and capital markets knowledgeExperience leading risk-based testing engagements and remediation validationBring compliance testing leadership, regulatory expertise, analytical judgment, and stakeholder influence to TD Securities’ Toronto team.
#J-18808-Ljbffr
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