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Senior Manager, Compliance Testing – Wealth Compliance
TD. Responsible for planning and overseeing independent Compliance testing and validations completed by specialists .
Posted 4/25/2026full-timeCharlotte • Maine, New Jersey, New York, North Carolina, South Carolina • 🇺🇸 United StatesSenior💰 $115,440 - $186,160 per yearWebsite
About the role
Key responsibilities & impact- Responsible for planning and overseeing independent Compliance testing and validations completed by specialists
- Execute independent testing as applicable
- Provides subject matter expertise on Compliance controls/processes
- Leading all phases of the assigned testing or validation engagement
- Collaborates with U.S. Compliance Monitoring and Testing Team which is responsible for compliance testing activities
- Tests and assesses controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations
Requirements
What you’ll need- Undergraduate degree or equivalent work experience
- 10+ years of experience
- Prior testing, audit or business operations experience in areas involving regulatory compliance
- 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
- Proficiency with Microsoft Office applications
- CRCM certification preferred
- Knowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systems
Benefits
Comp & perks- Health and well-being benefits
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development opportunities
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance testingvalidationaudit activitiesregulatory compliancetesting executioncontrols assessmentregulatory outcomescompliance controls
Soft Skills
detail orientedorganizational skillstime managementproject managementverbal communicationwritten communication
Certifications
CRCM