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Senior Compliance Testing Analyst

Work Location: Greenville, South Carolina, United States of America Hours: 40 Pay Details: $68,640 - $102,960 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: Compliance Why Work with Us?

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization. The Ideal Candidate

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. Beyond technical expertise, we're looking for someone with an entrepreneurial mindsetsomeone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. Job Summary

The Senior Compliance Testing Analyst executes independent testing of Compliance controls/systems for assigned businesses and operational units across the Bank along with providing expertise on Compliance controls/processes. May assume leadership of a part of the engagement and have responsibility for completion of a phase of the engagement. Depth & Scope

Exercises sound and expert independent professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters. Independently researches, reviews, and maintains expertise on banking regulations and laws, banking policies and procedures, and consumer protection laws. Acts as a subject matter expert for regulations applicable to business partners and provides guidance and advice with respect to the business partners' compliance with such regulations directly related to the operations of the business. Works independently to learn regulatory requirements tied to business units assigned for review, helps develop test steps to test the business line against these regulatory requirements, performs complex analysis/testing of the business line controls/processes, summarizes the results of testing, and analyzes the results to identify areas of improvement to be discussed with the business lines. Assists management in writing findings as applicable to address areas of improvement identified during independent testing and assists management in presenting these findings to business line staff and senior management. Oversees and/or independently performs assigned work from end to end. Executes more complex and/or non-standard assignments as requested. Education & Experience

Undergraduate degree or equivalent work experience 5+ years of experience Desired Qualifications

Prior testing, audit or business operations experience in areas involving regulatory compliance. Prior experience with execution of testing or audit activities, specifically with regards to findings and issues management. 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. Customer Accountabilities

Executes testing engagement work in accordance with established standards to achieve completion within target timelines Conducts skilled analytical research and analysis as part of the testing engagement and initiatives Works collaboratively with key Compliance and business line partners throughout the testing engagement Identifies potential errors following testing standards Executes validation of findings raised from testing engagements in accordance with established standards Proactively identifies matters which require additional attention, further escalation, or review Shareholder Accountabilities

Prioritizes and manages own workload to deliver quality results and meet assigned timelines Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility Adheres to internal policies, standards and procedures, methodologies, and applicable regulatory requirements to contribute to the review of internal processes and activities and assists in identifying potential opportunities to improve the Compliance Management System Understands the operations of the business unit/area being tested and to identify potential Compliance risks and apply information to complete a quality, risk based engagement Clearly and concisely documents research as required to understand requirements specific to an engagement Keeps abreast of emerging trends/developments and changes to regulatory framework, internal policies, and standards Provides analysis on issues and effectively communicates results to Compliance Testing management and assists management in communicating results to the client Maintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Employee/Team Accountabilities

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. May provide coaching to other team members as appropriate 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 Physical Requirements

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% 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 #LI-AMCBCorporate 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. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive