3,819 Compliance Testing jobs in the United States
Senior Compliance Testing Analyst
04104 Portland, Maine
TD Bank
Posted 2 days ago
Job Viewed
Job Description
**Work Location:**
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
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0
Director, Global Compliance Testing
02133 Boston, Kentucky
Manulife
Posted 2 days ago
Job Viewed
Job Description
We are looking for an experienced and proactive Director to join the Global Compliance Testing team. The successful candidate will lead our regulatory control testing and assurance function for part of our Global Wealth and Asset Management (GWAM) segment. The ideal candidate will have extensive experience with private markets and general accounts, specifically in relation to SEC regulations 206(4)-7 and 38a-1 for Registered Investment Advisers (RIAs) and Registered Investment Companies (RICs). This role will be responsible for developing, implementing, and overseeing a robust compliance testing program to ensure adherence to applicable regulations and internal policies.
**Position Responsibilities:**
+ Lead and manage an effective team of highly skilled compliance professionals.
+ Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities.
+ Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1.
+ Prepare detailed reports on compliance testing results and present findings to senior management.
+ Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance.
+ Foster a culture of compliance and ethical behavior across the organization.
**Required Qualifications:**
+ 10 years of experience in financial services, with 5 years in compliance testing, a related compliance function, audit services, or risk management. Experience at an institutional asset manager is strongly preferred
+ Exceptional leadership and communication skills, with experience in managing and developing high-performing teams.
+ Bachelor's degree in Finance, Law, Accounting, Economics, Business Administration, or a related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus.
+ Understanding of global regulatory requirements, with a deep understanding of 206(4)-7 and 38a-1. Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture.
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
#LI-Hybrid
#LI-JH
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Ubicación principal**
Boston, Massachusetts
**Modalidades de Trabajo**
Híbrido
**Se prevé que el rango salarial esté entre**
$120,750.00 USD - $217,350.00 USD
Si se está postulando para este puesto fuera de la ubicación principal, póngase en contacto con para conocer el rango salarial de su ubicación. El salario real variará según las condiciones locales del mercado, la geografía y los factores relacionados con el trabajo pertinentes, como conocimiento, habilidades, calificaciones, experiencia y educación/capacitación. Los empleados también tienen la oportunidad de participar en programas de incentivos y obtener una compensación de incentivos vinculada al desempeño comercial e individual.
Manulife/John Hancock ofrece a los empleados aptos una amplia variedad de beneficios personalizables, entre ellos, beneficios de salud, odontológicos, de salud mental, oftalmológicos, por discapacidad a corto y a largo plazo, cobertura de seguro de vida y por muerte accidental y desmembramiento, adopción/subrogación y bienestar, y planes de asistencia al empleado/familiar. También ofrecemos a los empleados admisibles varios planes de ahorro para la jubilación (incluidos planes de ahorro 401(k) o de pensiones y un plan mundial de propiedad de acciones con contribuciones equivalentes del empleador) y recursos de asesoramiento y educación financiera. Nuestro generoso programa de días libres pagos en EE. UU. contempla hasta 11 días festivos, 3 días personales, 150 horas de vacaciones y 40 horas de licencia por enfermedad (o más cuando lo exija la ley) por año, y ofrecemos todos los tipos de licencias contempladas por la ley.
**Conozca sus derechos ( Familiar y Médico**
**Ley de Protección del Empleado contra el Examen Poligráfico ( al Trabajo**
**Verificación Electrónica (E-** **Verify** **)**
**Transparencia Salarial ( John Hancock Life Insurance Company (U.S.A.)
**Position Responsibilities:**
+ Lead and manage an effective team of highly skilled compliance professionals.
+ Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities.
+ Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1.
+ Prepare detailed reports on compliance testing results and present findings to senior management.
+ Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance.
+ Foster a culture of compliance and ethical behavior across the organization.
**Required Qualifications:**
+ 10 years of experience in financial services, with 5 years in compliance testing, a related compliance function, audit services, or risk management. Experience at an institutional asset manager is strongly preferred
+ Exceptional leadership and communication skills, with experience in managing and developing high-performing teams.
+ Bachelor's degree in Finance, Law, Accounting, Economics, Business Administration, or a related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus.
+ Understanding of global regulatory requirements, with a deep understanding of 206(4)-7 and 38a-1. Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture.
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
#LI-Hybrid
#LI-JH
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Ubicación principal**
Boston, Massachusetts
**Modalidades de Trabajo**
Híbrido
**Se prevé que el rango salarial esté entre**
$120,750.00 USD - $217,350.00 USD
Si se está postulando para este puesto fuera de la ubicación principal, póngase en contacto con para conocer el rango salarial de su ubicación. El salario real variará según las condiciones locales del mercado, la geografía y los factores relacionados con el trabajo pertinentes, como conocimiento, habilidades, calificaciones, experiencia y educación/capacitación. Los empleados también tienen la oportunidad de participar en programas de incentivos y obtener una compensación de incentivos vinculada al desempeño comercial e individual.
Manulife/John Hancock ofrece a los empleados aptos una amplia variedad de beneficios personalizables, entre ellos, beneficios de salud, odontológicos, de salud mental, oftalmológicos, por discapacidad a corto y a largo plazo, cobertura de seguro de vida y por muerte accidental y desmembramiento, adopción/subrogación y bienestar, y planes de asistencia al empleado/familiar. También ofrecemos a los empleados admisibles varios planes de ahorro para la jubilación (incluidos planes de ahorro 401(k) o de pensiones y un plan mundial de propiedad de acciones con contribuciones equivalentes del empleador) y recursos de asesoramiento y educación financiera. Nuestro generoso programa de días libres pagos en EE. UU. contempla hasta 11 días festivos, 3 días personales, 150 horas de vacaciones y 40 horas de licencia por enfermedad (o más cuando lo exija la ley) por año, y ofrecemos todos los tipos de licencias contempladas por la ley.
**Conozca sus derechos ( Familiar y Médico**
**Ley de Protección del Empleado contra el Examen Poligráfico ( al Trabajo**
**Verificación Electrónica (E-** **Verify** **)**
**Transparencia Salarial ( John Hancock Life Insurance Company (U.S.A.)
View Now
1
Fiduciary Compliance Testing Analyst
64106 Kansas City, Missouri
UMB Bank
Posted 16 days ago
Job Viewed
Job Description
**Corporate Compliance Services** partners with UMB management in its obligation to effectively manage compliance and related risks within the UMB family of corporations.
This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of compliance, and fulfills regulatory expectations of administering effective compliance monitoring and other mandated programs.
As a Compliance Testing Analyst you will assist the Compliance Testing Manager in carrying out the testing function of UMB Financial Corporation's Compliance Management System, with an emphasis on the bank's fiduciary activities relating to both wealth management and corporate-institutional business. This position will conduct transaction and control testing to validate regulatory compliance with policies, regulations and laws that govern fiduciary activities of UMB Financial Corporation. You will have the opportunity to participate in meetings with business units, individually or in a group, to identify gaps within current practices and regulatory requirements. You will identify and communicate compliance deficiencies and potential issues to Corporate Risk Management and business partners and communicate efficiencies and process enhancements to correct deficiencies and comply with fiduciary requirements.
Being a UMB associate is unlike working at any other company. You are not only valued for the work that you do, but who you are. You'll be encouraged to bring your whole self to work, being valued for exactly who you are. You'll also have the opportunity to serve your community alongside your team. At UMB, we do big business, but we don't forget that the little things matter the most.
**How you'll spend your time:**
+ Develop and maintain rapport with lines of business, and other 2nd line and 3rd line stakeholders, to maintain a strong Compliance Management Program
+ Maintain a strong working knowledge of laws and regulations specific to fiduciary activities of national banks, including 12 CFR 9, 12 CFR 12, ERISA, and other applicable laws.
+ Plan, develop and execute compliance testing, including control design and performance reviews and transactional testing covering the fiduciary activities of UMB Financial Corporation.
+ Manage time effectively to assist in completing the annual test plan
+ Lead and participate in meetings amongst stakeholders to discuss findings; draft and distribute a written report of the review final results
**We're excited to talk with you if you have:**
+ Associate degree or equivalent in Accounting, Finance or Business Administration (w/ strong emphasis in Accounting or Finance) or 2 years compliance, audit or quality control experience with a financial institution, consulting firm, or regulatory agency
**Extra bonus points if you have:**
Examination experience with a state or federal regulatory agency
Currently hold or actively pursuing Certified Fiduciary and Investment Risk Specialist (CFIRS) designation
**Compensation Range:**
$51,480.00 - $99,330.00
_The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information_
UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.
**Are you ready to be part of something more?**
You're more than a means to an end-a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.
_UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to_ _to let us know the nature of your request._
_If you are a California resident, please visit our_ Privacy Notice for California Job Candidates ( _to understand how we collect and use your personal information when you apply for employment with UMB._
**_Who we are_**
We are more than a company. We are advisors, consultants, problem solvers, friends, community members, experts, and we are here to help you make the best of every moment with a financial foundation that can help you succeed.
Learn more about UMB's vision ( out the road to a career at UMB
This team provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of compliance, and fulfills regulatory expectations of administering effective compliance monitoring and other mandated programs.
As a Compliance Testing Analyst you will assist the Compliance Testing Manager in carrying out the testing function of UMB Financial Corporation's Compliance Management System, with an emphasis on the bank's fiduciary activities relating to both wealth management and corporate-institutional business. This position will conduct transaction and control testing to validate regulatory compliance with policies, regulations and laws that govern fiduciary activities of UMB Financial Corporation. You will have the opportunity to participate in meetings with business units, individually or in a group, to identify gaps within current practices and regulatory requirements. You will identify and communicate compliance deficiencies and potential issues to Corporate Risk Management and business partners and communicate efficiencies and process enhancements to correct deficiencies and comply with fiduciary requirements.
Being a UMB associate is unlike working at any other company. You are not only valued for the work that you do, but who you are. You'll be encouraged to bring your whole self to work, being valued for exactly who you are. You'll also have the opportunity to serve your community alongside your team. At UMB, we do big business, but we don't forget that the little things matter the most.
**How you'll spend your time:**
+ Develop and maintain rapport with lines of business, and other 2nd line and 3rd line stakeholders, to maintain a strong Compliance Management Program
+ Maintain a strong working knowledge of laws and regulations specific to fiduciary activities of national banks, including 12 CFR 9, 12 CFR 12, ERISA, and other applicable laws.
+ Plan, develop and execute compliance testing, including control design and performance reviews and transactional testing covering the fiduciary activities of UMB Financial Corporation.
+ Manage time effectively to assist in completing the annual test plan
+ Lead and participate in meetings amongst stakeholders to discuss findings; draft and distribute a written report of the review final results
**We're excited to talk with you if you have:**
+ Associate degree or equivalent in Accounting, Finance or Business Administration (w/ strong emphasis in Accounting or Finance) or 2 years compliance, audit or quality control experience with a financial institution, consulting firm, or regulatory agency
**Extra bonus points if you have:**
Examination experience with a state or federal regulatory agency
Currently hold or actively pursuing Certified Fiduciary and Investment Risk Specialist (CFIRS) designation
**Compensation Range:**
$51,480.00 - $99,330.00
_The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information_
UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.
**Are you ready to be part of something more?**
You're more than a means to an end-a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.
_UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to_ _to let us know the nature of your request._
_If you are a California resident, please visit our_ Privacy Notice for California Job Candidates ( _to understand how we collect and use your personal information when you apply for employment with UMB._
**_Who we are_**
We are more than a company. We are advisors, consultants, problem solvers, friends, community members, experts, and we are here to help you make the best of every moment with a financial foundation that can help you succeed.
Learn more about UMB's vision ( out the road to a career at UMB
View Now
2
Senior Compliance Testing Analyst
28230 Charlotte, North Carolina
TD Bank
Posted 16 days ago
Job Viewed
Job Description
**Work Location:**
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
View Now
3
Senior Compliance Testing Analyst
29602 Greenville, South Carolina
TD Bank
Posted 16 days ago
Job Viewed
Job Description
**Work Location:**
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
View Now
4
Senior Compliance Testing Analyst
08054 Mount Laurel, New Jersey
TD Bank
Posted 16 days ago
Job Viewed
Job Description
**Work Location:**
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
Greenville, South Carolina, United States of America
**Hours:**
40
**Pay Details:**
$68,640 - $112,320 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
**Job Description:**
**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 mindset-someone 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.
**U.S. Compliance Testing Team Summary:**
**U.S. Compliance Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing to assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing activities are designed and executed to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**Duties:**
**The Senior Compliance Testing Analyst is responsible for executing independent testing as part of the second line of defense to assess regulatory compliance of businesses and/or operational units across the Bank in accordance with U.S. Compliance Testing's approved testing methodology.**
**This individual will be part of a larger testing team that will be responsible for executing compliance testing engagements. Primary responsibility for the role will involve the development and execution of testing procedures to specifically test and assess controls and regulatory outcomes in relation to compliance with applicable laws, rules, and regulations (e.g., primarily consumer financial protection laws).**
**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
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
#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 awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
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 . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.
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5
Manager, Data Analysis -Compliance Testing
22107 McLean, Virginia
Capital One
Posted 3 days ago
Job Viewed
Job Description
Manager, Data Analysis -Compliance Testing
Manager, Data Analysis
At Capital One, data is at the center of everything we do. When we launched as a startup we disrupted the credit card industry by individually personalizing every credit card offer using statistical modeling and the relational database, cutting edge technology in 1988! Fast-forward a few years, and this little innovation and our passion for data has skyrocketed us to a Fortune 200 company and a leader in the world of data-driven decision-making.
What you’ll do:
-
Drive current and future strategy by leveraging your analytical skills
-
Assist with building and using models to test and validate data
-
Work with vast amounts of data in new and evolving environments
-
Be a part of growing and developing our brand in new and emerging markets
-
Leverage analytics to create a customer experience above our peers
-
Lead a team of talented junior analysts on an exciting professional journey while mentoring them and elevating their careers
-
Be a part of the full life cycle of projects and see end results
-
Collaborate across business units
-
Work with top talent in a fast paced, entrepreneurial environment where analytics and good data are a top priority
-
Experience real work life balance, with little travel involved
On any given day you will be:
-
Mining data to arrive at specific and crucial information for the organization
-
Identifying and implementing process, data, and reporting improvements for the organization
-
Working with large and complex databases containing millions to billions of records
-
Improving operational efficiencies and effectiveness
-
Conducting analysis to evaluate processes and tests
-
Extracting and analyzing data to gauge product offerings
-
Consulting on the design and implementation of new production and data storage systems
-
Developing and implementing strategic tests of products, initiatives and marketing materials
An ideal candidate will be on the leading edge of Analytical technology with a passion for the newest and most innovative tools. Possessing strong problem solving and conceptual thinking abilities in addition to communication, interpersonal and leadership skills are also important. This position will be in a fast-paced and entrepreneurial environment where you will be handling multiple concurrent projects while working independently and in teams. This role will have a strong Business Intelligence component and those with a BI background are strongly encouraged to apply.
Basic Qualifications:
-
Currently has, or is in the process of obtaining a:
-
Bachelor’s Degree in quantitative field (Statistics, Economics, Operations Research, Analytics, Mathematics, Computer Science or a related quantitative field) plus at least 6 years of experience performing data analytics, or
-
Master’s Degree plus at least 4 years of experience performing data analytics with an expectation that required degree will be obtained on or before the scheduled start date.
-
At least 4 years of experience performing professional data analysis work
-
At least 4 years of experience performing programming
Preferred Qualifications:
-
Master’s Degree in a Science, Technology, Engineering, Mathematics discipline
-
At least 7 years of professional data analysis work experience
-
At least 4 years of experience with Python, R, Spark or SQL
-
At least 1 year of experience in people management
-
At least 1 years of project management experience
-
At least 1 year of experience in Tableau
-
Proficient utilizing and developing within AWS service
Capital One will consider sponsoring a new qualified applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
McLean, VA: $158,400 - $180,800 for Data Analysis Manager
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website ( . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
This role is expected to accept applications for a minimum of 5 business days.
No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections ; New York City’s Fair Chance Act; Philadelphia’s Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
For technical support or questions about Capital One's recruiting process, please send an email to
Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.
Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).
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6
Staff Compliance Testing Program Manager
92108 Mission Valley, California
Intuit
Posted 2 days ago
Job Viewed
Job Description
**Overview**
Intuit is a global technology platform that helps our customers and communities overcome their most important financial challenges. We help give over 50 million consumers, small businesses, and self-employed customers around the world the opportunity to prosper.
Come join our amazing team of leaders, learners and world-class compliance professionals. We're a high-performing team that enjoys working together to accelerate innovation across the Intuit ecosystem by delivering impactful business outcomes that strengthen the Intuit brand. Intuit's Legal, Compliance & Policy Organization (LCPO) is seeking a Staff Compliance Testing Manager with strong leadership experience working with large teams to deliver impactful business outcomes that meet our obligations to our customers, partners and regulators.
**This role is a hybrid role - with 3 days a week in office expectations.**
**What you'll bring**
This role requires a collaborative and influential leader with a strong compliance background and a proven ability to drive results in a fast-paced environment. Here's what you'll need to succeed:
+ **Leadership & Collaboration:** Demonstrated ability to build trust, foster collaboration, and act as a trusted advisor to stakeholders at all levels. Adept at navigating complex situations and effectively translating feedback into action. Cultivates a "One Team" mindset demonstrating extreme ownership.
+ **Compliance Expertise** : Bachelor's Degree with 8+ years of experience in compliance or internal audit, preferably within the software or FinTech industry. A strong understanding of business and compliance processes, including system and IT general controls or equivalent experience.
+ **Execution & Accountability:** Proven ability to manage and prioritize multiple projects, supervise resources, and drive accountability within large teams to achieve desired outcomes. Skilled at navigating complex problems and delivering solutions that drive impactful results.
+ **Communication & Influence:** Exceptional communication and influencing skills to drive decision-making with velocity; effectively conveys complex information, actively listens to understand various viewpoints, and skillfully manage conversations-including escalations-to ensure timely and informed decisions.
+ **Problem-Solving & Mentorship:** A strategic thinker with strong problem-solving skills. Passionate about creating opportunities for others to learn and grow by sharing diverse perspectives and developing balanced solutions.
+ CISA, CIA, or CAMS certification preferred.
**How you will lead**
A highly motivated and experienced leader with a proven track record of driving results within a collaborative environment. You will be a key player to help business stakeholders strengthen and mature new and existing compliance programs and products and here is how you'll make an impact:
+ **Strategic Collaboration:** Collaborate with program owners, subject matter experts, and legal teams to gain a deep understanding of the regulatory landscape and compliance requirements governing our programs and products.
+ **Risks and Controls Matrix Design:** Lead the development of risk and control matrices by partnering with stakeholders to align on requirements and scope to develop risks, controls and test procedures.
+ **Compliance Maturity Evaluation:** Evaluate the design and operationalization of controls and assign compliance maturity score and issue rating based on test results, and conduct root cause analyses where necessary, using data-driven and risk-based strategies.
+ **Influence & Driving One Team Results:** Partner with stakeholders to prioritize and implement impactful recommendations that strengthen our programs and products and effectively align diverse perspectives to drive initiatives forward.
+ **Effective Communication & Reporting:** Create and deliver high-quality deliverables, including executive summaries, reports, presentations and workpapers that simplifies complex information to diverse audiences. Present findings and recommendations to senior management and stakeholders, ensuring clarity, understanding, and alignment.
+ **Cross-Functional Partnership:** Build strong relationships with cross-functional stakeholders, including Internal Audit, Finance, Legal & Compliance, Business, Risk, Security, and Technology teams, to drive reviews, remediation efforts, and process improvements.
+ **Continuous Improvement:** Actively lead, contribute and participate in strategic initiatives and projects driving departmental goals to scale and move with velocity while staying abreast of industry and regulatory changes.
Intuit provides a competitive compensation package with a strong pay for performance rewards approach. The expected base pay range for this position is Bay Area California $159,000 - $15,000 and San Diego 142,000 - 192,500. This position will be eligible for a cash bonus, equity rewards and benefits, in accordance with our applicable plans and programs (see more about our compensation and benefits at Intuit®: Careers | Benefits) ( . Pay offered is based on factors such as job-related knowledge, skills, experience, and work location. To drive ongoing fair pay for employees, Intuit conducts regular comparisons across categories of ethnicity and gender.
EOE AA M/F/Vet/Disability. Intuit will consider for employment qualified applicants with criminal histories in a manner consistent with requirements of local law.
Intuit is a global technology platform that helps our customers and communities overcome their most important financial challenges. We help give over 50 million consumers, small businesses, and self-employed customers around the world the opportunity to prosper.
Come join our amazing team of leaders, learners and world-class compliance professionals. We're a high-performing team that enjoys working together to accelerate innovation across the Intuit ecosystem by delivering impactful business outcomes that strengthen the Intuit brand. Intuit's Legal, Compliance & Policy Organization (LCPO) is seeking a Staff Compliance Testing Manager with strong leadership experience working with large teams to deliver impactful business outcomes that meet our obligations to our customers, partners and regulators.
**This role is a hybrid role - with 3 days a week in office expectations.**
**What you'll bring**
This role requires a collaborative and influential leader with a strong compliance background and a proven ability to drive results in a fast-paced environment. Here's what you'll need to succeed:
+ **Leadership & Collaboration:** Demonstrated ability to build trust, foster collaboration, and act as a trusted advisor to stakeholders at all levels. Adept at navigating complex situations and effectively translating feedback into action. Cultivates a "One Team" mindset demonstrating extreme ownership.
+ **Compliance Expertise** : Bachelor's Degree with 8+ years of experience in compliance or internal audit, preferably within the software or FinTech industry. A strong understanding of business and compliance processes, including system and IT general controls or equivalent experience.
+ **Execution & Accountability:** Proven ability to manage and prioritize multiple projects, supervise resources, and drive accountability within large teams to achieve desired outcomes. Skilled at navigating complex problems and delivering solutions that drive impactful results.
+ **Communication & Influence:** Exceptional communication and influencing skills to drive decision-making with velocity; effectively conveys complex information, actively listens to understand various viewpoints, and skillfully manage conversations-including escalations-to ensure timely and informed decisions.
+ **Problem-Solving & Mentorship:** A strategic thinker with strong problem-solving skills. Passionate about creating opportunities for others to learn and grow by sharing diverse perspectives and developing balanced solutions.
+ CISA, CIA, or CAMS certification preferred.
**How you will lead**
A highly motivated and experienced leader with a proven track record of driving results within a collaborative environment. You will be a key player to help business stakeholders strengthen and mature new and existing compliance programs and products and here is how you'll make an impact:
+ **Strategic Collaboration:** Collaborate with program owners, subject matter experts, and legal teams to gain a deep understanding of the regulatory landscape and compliance requirements governing our programs and products.
+ **Risks and Controls Matrix Design:** Lead the development of risk and control matrices by partnering with stakeholders to align on requirements and scope to develop risks, controls and test procedures.
+ **Compliance Maturity Evaluation:** Evaluate the design and operationalization of controls and assign compliance maturity score and issue rating based on test results, and conduct root cause analyses where necessary, using data-driven and risk-based strategies.
+ **Influence & Driving One Team Results:** Partner with stakeholders to prioritize and implement impactful recommendations that strengthen our programs and products and effectively align diverse perspectives to drive initiatives forward.
+ **Effective Communication & Reporting:** Create and deliver high-quality deliverables, including executive summaries, reports, presentations and workpapers that simplifies complex information to diverse audiences. Present findings and recommendations to senior management and stakeholders, ensuring clarity, understanding, and alignment.
+ **Cross-Functional Partnership:** Build strong relationships with cross-functional stakeholders, including Internal Audit, Finance, Legal & Compliance, Business, Risk, Security, and Technology teams, to drive reviews, remediation efforts, and process improvements.
+ **Continuous Improvement:** Actively lead, contribute and participate in strategic initiatives and projects driving departmental goals to scale and move with velocity while staying abreast of industry and regulatory changes.
Intuit provides a competitive compensation package with a strong pay for performance rewards approach. The expected base pay range for this position is Bay Area California $159,000 - $15,000 and San Diego 142,000 - 192,500. This position will be eligible for a cash bonus, equity rewards and benefits, in accordance with our applicable plans and programs (see more about our compensation and benefits at Intuit®: Careers | Benefits) ( . Pay offered is based on factors such as job-related knowledge, skills, experience, and work location. To drive ongoing fair pay for employees, Intuit conducts regular comparisons across categories of ethnicity and gender.
EOE AA M/F/Vet/Disability. Intuit will consider for employment qualified applicants with criminal histories in a manner consistent with requirements of local law.
View Now
7
Staff Compliance Testing Program Manager
94039 Mountainview, California
Intuit
Posted 2 days ago
Job Viewed
Job Description
**Overview**
Intuit is a global technology platform that helps our customers and communities overcome their most important financial challenges. We help give over 50 million consumers, small businesses, and self-employed customers around the world the opportunity to prosper.
Come join our amazing team of leaders, learners and world-class compliance professionals. We're a high-performing team that enjoys working together to accelerate innovation across the Intuit ecosystem by delivering impactful business outcomes that strengthen the Intuit brand. Intuit's Legal, Compliance & Policy Organization (LCPO) is seeking a Staff Compliance Testing Manager with strong leadership experience working with large teams to deliver impactful business outcomes that meet our obligations to our customers, partners and regulators.
**This role is a hybrid role - with 3 days a week in office expectations.**
**What you'll bring**
This role requires a collaborative and influential leader with a strong compliance background and a proven ability to drive results in a fast-paced environment. Here's what you'll need to succeed:
+ **Leadership & Collaboration:** Demonstrated ability to build trust, foster collaboration, and act as a trusted advisor to stakeholders at all levels. Adept at navigating complex situations and effectively translating feedback into action. Cultivates a "One Team" mindset demonstrating extreme ownership.
+ **Compliance Expertise** : Bachelor's Degree with 8+ years of experience in compliance or internal audit, preferably within the software or FinTech industry. A strong understanding of business and compliance processes, including system and IT general controls or equivalent experience.
+ **Execution & Accountability:** Proven ability to manage and prioritize multiple projects, supervise resources, and drive accountability within large teams to achieve desired outcomes. Skilled at navigating complex problems and delivering solutions that drive impactful results.
+ **Communication & Influence:** Exceptional communication and influencing skills to drive decision-making with velocity; effectively conveys complex information, actively listens to understand various viewpoints, and skillfully manage conversations-including escalations-to ensure timely and informed decisions.
+ **Problem-Solving & Mentorship:** A strategic thinker with strong problem-solving skills. Passionate about creating opportunities for others to learn and grow by sharing diverse perspectives and developing balanced solutions.
+ CISA, CIA, or CAMS certification preferred.
**How you will lead**
A highly motivated and experienced leader with a proven track record of driving results within a collaborative environment. You will be a key player to help business stakeholders strengthen and mature new and existing compliance programs and products and here is how you'll make an impact:
+ **Strategic Collaboration:** Collaborate with program owners, subject matter experts, and legal teams to gain a deep understanding of the regulatory landscape and compliance requirements governing our programs and products.
+ **Risks and Controls Matrix Design:** Lead the development of risk and control matrices by partnering with stakeholders to align on requirements and scope to develop risks, controls and test procedures.
+ **Compliance Maturity Evaluation:** Evaluate the design and operationalization of controls and assign compliance maturity score and issue rating based on test results, and conduct root cause analyses where necessary, using data-driven and risk-based strategies.
+ **Influence & Driving One Team Results:** Partner with stakeholders to prioritize and implement impactful recommendations that strengthen our programs and products and effectively align diverse perspectives to drive initiatives forward.
+ **Effective Communication & Reporting:** Create and deliver high-quality deliverables, including executive summaries, reports, presentations and workpapers that simplifies complex information to diverse audiences. Present findings and recommendations to senior management and stakeholders, ensuring clarity, understanding, and alignment.
+ **Cross-Functional Partnership:** Build strong relationships with cross-functional stakeholders, including Internal Audit, Finance, Legal & Compliance, Business, Risk, Security, and Technology teams, to drive reviews, remediation efforts, and process improvements.
+ **Continuous Improvement:** Actively lead, contribute and participate in strategic initiatives and projects driving departmental goals to scale and move with velocity while staying abreast of industry and regulatory changes.
Intuit provides a competitive compensation package with a strong pay for performance rewards approach. The expected base pay range for this position is Bay Area California $159,000 - $15,000 and San Diego 142,000 - 192,500. This position will be eligible for a cash bonus, equity rewards and benefits, in accordance with our applicable plans and programs (see more about our compensation and benefits at Intuit®: Careers | Benefits) ( . Pay offered is based on factors such as job-related knowledge, skills, experience, and work location. To drive ongoing fair pay for employees, Intuit conducts regular comparisons across categories of ethnicity and gender.
EOE AA M/F/Vet/Disability. Intuit will consider for employment qualified applicants with criminal histories in a manner consistent with requirements of local law.
Intuit is a global technology platform that helps our customers and communities overcome their most important financial challenges. We help give over 50 million consumers, small businesses, and self-employed customers around the world the opportunity to prosper.
Come join our amazing team of leaders, learners and world-class compliance professionals. We're a high-performing team that enjoys working together to accelerate innovation across the Intuit ecosystem by delivering impactful business outcomes that strengthen the Intuit brand. Intuit's Legal, Compliance & Policy Organization (LCPO) is seeking a Staff Compliance Testing Manager with strong leadership experience working with large teams to deliver impactful business outcomes that meet our obligations to our customers, partners and regulators.
**This role is a hybrid role - with 3 days a week in office expectations.**
**What you'll bring**
This role requires a collaborative and influential leader with a strong compliance background and a proven ability to drive results in a fast-paced environment. Here's what you'll need to succeed:
+ **Leadership & Collaboration:** Demonstrated ability to build trust, foster collaboration, and act as a trusted advisor to stakeholders at all levels. Adept at navigating complex situations and effectively translating feedback into action. Cultivates a "One Team" mindset demonstrating extreme ownership.
+ **Compliance Expertise** : Bachelor's Degree with 8+ years of experience in compliance or internal audit, preferably within the software or FinTech industry. A strong understanding of business and compliance processes, including system and IT general controls or equivalent experience.
+ **Execution & Accountability:** Proven ability to manage and prioritize multiple projects, supervise resources, and drive accountability within large teams to achieve desired outcomes. Skilled at navigating complex problems and delivering solutions that drive impactful results.
+ **Communication & Influence:** Exceptional communication and influencing skills to drive decision-making with velocity; effectively conveys complex information, actively listens to understand various viewpoints, and skillfully manage conversations-including escalations-to ensure timely and informed decisions.
+ **Problem-Solving & Mentorship:** A strategic thinker with strong problem-solving skills. Passionate about creating opportunities for others to learn and grow by sharing diverse perspectives and developing balanced solutions.
+ CISA, CIA, or CAMS certification preferred.
**How you will lead**
A highly motivated and experienced leader with a proven track record of driving results within a collaborative environment. You will be a key player to help business stakeholders strengthen and mature new and existing compliance programs and products and here is how you'll make an impact:
+ **Strategic Collaboration:** Collaborate with program owners, subject matter experts, and legal teams to gain a deep understanding of the regulatory landscape and compliance requirements governing our programs and products.
+ **Risks and Controls Matrix Design:** Lead the development of risk and control matrices by partnering with stakeholders to align on requirements and scope to develop risks, controls and test procedures.
+ **Compliance Maturity Evaluation:** Evaluate the design and operationalization of controls and assign compliance maturity score and issue rating based on test results, and conduct root cause analyses where necessary, using data-driven and risk-based strategies.
+ **Influence & Driving One Team Results:** Partner with stakeholders to prioritize and implement impactful recommendations that strengthen our programs and products and effectively align diverse perspectives to drive initiatives forward.
+ **Effective Communication & Reporting:** Create and deliver high-quality deliverables, including executive summaries, reports, presentations and workpapers that simplifies complex information to diverse audiences. Present findings and recommendations to senior management and stakeholders, ensuring clarity, understanding, and alignment.
+ **Cross-Functional Partnership:** Build strong relationships with cross-functional stakeholders, including Internal Audit, Finance, Legal & Compliance, Business, Risk, Security, and Technology teams, to drive reviews, remediation efforts, and process improvements.
+ **Continuous Improvement:** Actively lead, contribute and participate in strategic initiatives and projects driving departmental goals to scale and move with velocity while staying abreast of industry and regulatory changes.
Intuit provides a competitive compensation package with a strong pay for performance rewards approach. The expected base pay range for this position is Bay Area California $159,000 - $15,000 and San Diego 142,000 - 192,500. This position will be eligible for a cash bonus, equity rewards and benefits, in accordance with our applicable plans and programs (see more about our compensation and benefits at Intuit®: Careers | Benefits) ( . Pay offered is based on factors such as job-related knowledge, skills, experience, and work location. To drive ongoing fair pay for employees, Intuit conducts regular comparisons across categories of ethnicity and gender.
EOE AA M/F/Vet/Disability. Intuit will consider for employment qualified applicants with criminal histories in a manner consistent with requirements of local law.
View Now
8
Senior Compliance Testing Analyst - Remote
84020 Draper, Utah
UnitedHealth Group
Posted 8 days ago
Job Viewed
Job Description
Optum is a global organization that delivers care, aided by technology to help millions of people live healthier lives. The work you do with our team will directly improve health outcomes by connecting people with the care, pharmacy benefits, data and resources they need to feel their best. Here, you will find a culture guided by inclusion, talented peers, comprehensive benefits and career development opportunities. Come make an impact on the communities we serve as you help us advance health optimization on a global scale. Join us to start **Caring. Connecting. Growing together.**
The Senior Compliance Testing Analyst will support the Bank's Compliance Management System ("CMS") by primarily conducting 2nd line testing and monitoring activities of consumer compliance regulations to identify and mitigate compliance risks of the Bank. This individual will also support the ongoing refinement and execution of various risk assessments and the control environment. This individual will report to the Director of the Compliance Program.
You'll enjoy the flexibility to work remotely * from anywhere within the U.S. as you take on some tough challenges.
**Primary Responsibilities:**
+ Assist with the design, development, delivery, and maintenance of a best-in-class compliance program
+ Conduct compliance testing and monitoring to detect, evaluate, and mitigate potential compliance concerns and ensure compliance with relevant consumer protection regulations, regulatory best practices, and consistency with applicable Bank policies and procedures
+ Perform and document relevant risk assessments to determine current risk levels and assist in developing the annual compliance review schedule
+ Assist in establishing, documenting, and revising applicable compliance policies and procedures
+ Engage with business partners/colleagues to receive documents to review and analyze data and processes to ensure regulatory adherence
+ Ensure timely communication throughout the compliance review process and document and share written compliance testing and monitoring results with key stakeholders
+ Prepare and present reporting to the Compliance Committee, and other governance committees as may be required
+ Participate in and provide support (testing documentation/information) for regulatory examinations and internal audits
+ Stay abreast of changing laws and regulations relating to bank and lending partner products
+ Support the Compliance Training area by providing information for custom training courses and periodically assist with Learning Management System Administration
**Knowledge, Skills, and Abilities:**
+ Working knowledge of relevant Federal consumer protection regulations and how those regulations apply to bank products and programs, including: UDAAP, ECOA/Fair Lending, TILA, TISA, FCRA/FACTA, Privacy (GLBA / RTFPA), SCRA, MLA, E-SIGN, FDCPA, TCPA, CAN-SPAM, EFTA, EFAA, and other applicable lending and deposit regulations
+ Ability to demonstrate solid critical thinking skills in identifying, analyzing, managing, and resolving complex issues, concerns, or potential regulatory issues
+ Must have good people-management and interpersonal skills, with the ability to successfully convey testing results to applicable business owners and management
+ Ability to read, analyze and interpret laws, regulations, legal documents, and regulatory guides and manualsAssertive self-starter, with the ability to work independently or in a team environment (in person or virtually), while demonstrating exceptional organizational, verbal, and written skills
+ Must be able to appropriately prioritize time, manage multiple tasks and work effectively under tight deadlines, in a fast-paced environment
+ Demonstrate high integrity and excellent judgment and problem-solving capabilities
You'll be rewarded and recognized for your performance in an environment that will challenge you and give you clear direction on what it takes to succeed in your role as well as provide development for other roles you may be interested in.
**Required Qualifications:**
+ 6+ years working in a bank or other financial institution in a Compliance, Internal Audit, Risk Management, Legal, or Operations role
+ 4+ years (of the 6+ above) developing and executing testing focused on federal consumer protection compliance regulations for the majority of the regulations listed in the Knowledge, Skills, and Abilities section
**Preferred Qualifications:**
+ Certified Regulatory Compliance Manager (CRCM) designation
+ Compliance experience working with one of the following Regulatory Agencies: FDIC, CFPB, FRB, OCC, NCUA, a State Department of Financial Institutions, or experience working with/conveying information to banking regulators or Internal Audit
*All employees working remotely will be required to adhere to UnitedHealth Group's Telecommuter Policy
Pay is based on several factors including but not limited to local labor markets, education, work experience, certifications, etc. In addition to your salary, we offer benefits such as, a comprehensive benefits package, incentive and recognition programs, equity stock purchase and 401k contribution (all benefits are subject to eligibility requirements). No matter where or when you begin a career with us, you'll find a far-reaching choice of benefits and incentives. The salary for this role will range from $71,200 to $127,200 annually based on full-time employment. We comply with all minimum wage laws as applicable.
**Application Deadline:** This will be posted for a minimum of 2 business days or until a sufficient candidate pool has been collected. Job posting may come down early due to volume of applicants.
_At UnitedHealth Group, our mission is to help people live healthier lives and make the health system work better for everyone. We believe everyone-of every race, gender, sexuality, age, location and income-deserves the opportunity to live their healthiest life. Today, however, there are still far too many barriers to good health which are disproportionately experienced by people of color, historically marginalized groups and those with lower incomes. We are committed to mitigating our impact on the environment and enabling and delivering equitable care that addresses health disparities and improves health outcomes - an enterprise priority reflected in our mission._
_UnitedHealth Group is an Equal Employment Opportunity employer under applicable law and qualified applicants will receive consideration for employment without regard to race, national origin, religion, age, color, sex, sexual orientation, gender identity, disability, or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations._
_UnitedHealth Group is a drug-free workplace. Candidates are required to pass a drug test before beginning employment._
The Senior Compliance Testing Analyst will support the Bank's Compliance Management System ("CMS") by primarily conducting 2nd line testing and monitoring activities of consumer compliance regulations to identify and mitigate compliance risks of the Bank. This individual will also support the ongoing refinement and execution of various risk assessments and the control environment. This individual will report to the Director of the Compliance Program.
You'll enjoy the flexibility to work remotely * from anywhere within the U.S. as you take on some tough challenges.
**Primary Responsibilities:**
+ Assist with the design, development, delivery, and maintenance of a best-in-class compliance program
+ Conduct compliance testing and monitoring to detect, evaluate, and mitigate potential compliance concerns and ensure compliance with relevant consumer protection regulations, regulatory best practices, and consistency with applicable Bank policies and procedures
+ Perform and document relevant risk assessments to determine current risk levels and assist in developing the annual compliance review schedule
+ Assist in establishing, documenting, and revising applicable compliance policies and procedures
+ Engage with business partners/colleagues to receive documents to review and analyze data and processes to ensure regulatory adherence
+ Ensure timely communication throughout the compliance review process and document and share written compliance testing and monitoring results with key stakeholders
+ Prepare and present reporting to the Compliance Committee, and other governance committees as may be required
+ Participate in and provide support (testing documentation/information) for regulatory examinations and internal audits
+ Stay abreast of changing laws and regulations relating to bank and lending partner products
+ Support the Compliance Training area by providing information for custom training courses and periodically assist with Learning Management System Administration
**Knowledge, Skills, and Abilities:**
+ Working knowledge of relevant Federal consumer protection regulations and how those regulations apply to bank products and programs, including: UDAAP, ECOA/Fair Lending, TILA, TISA, FCRA/FACTA, Privacy (GLBA / RTFPA), SCRA, MLA, E-SIGN, FDCPA, TCPA, CAN-SPAM, EFTA, EFAA, and other applicable lending and deposit regulations
+ Ability to demonstrate solid critical thinking skills in identifying, analyzing, managing, and resolving complex issues, concerns, or potential regulatory issues
+ Must have good people-management and interpersonal skills, with the ability to successfully convey testing results to applicable business owners and management
+ Ability to read, analyze and interpret laws, regulations, legal documents, and regulatory guides and manualsAssertive self-starter, with the ability to work independently or in a team environment (in person or virtually), while demonstrating exceptional organizational, verbal, and written skills
+ Must be able to appropriately prioritize time, manage multiple tasks and work effectively under tight deadlines, in a fast-paced environment
+ Demonstrate high integrity and excellent judgment and problem-solving capabilities
You'll be rewarded and recognized for your performance in an environment that will challenge you and give you clear direction on what it takes to succeed in your role as well as provide development for other roles you may be interested in.
**Required Qualifications:**
+ 6+ years working in a bank or other financial institution in a Compliance, Internal Audit, Risk Management, Legal, or Operations role
+ 4+ years (of the 6+ above) developing and executing testing focused on federal consumer protection compliance regulations for the majority of the regulations listed in the Knowledge, Skills, and Abilities section
**Preferred Qualifications:**
+ Certified Regulatory Compliance Manager (CRCM) designation
+ Compliance experience working with one of the following Regulatory Agencies: FDIC, CFPB, FRB, OCC, NCUA, a State Department of Financial Institutions, or experience working with/conveying information to banking regulators or Internal Audit
*All employees working remotely will be required to adhere to UnitedHealth Group's Telecommuter Policy
Pay is based on several factors including but not limited to local labor markets, education, work experience, certifications, etc. In addition to your salary, we offer benefits such as, a comprehensive benefits package, incentive and recognition programs, equity stock purchase and 401k contribution (all benefits are subject to eligibility requirements). No matter where or when you begin a career with us, you'll find a far-reaching choice of benefits and incentives. The salary for this role will range from $71,200 to $127,200 annually based on full-time employment. We comply with all minimum wage laws as applicable.
**Application Deadline:** This will be posted for a minimum of 2 business days or until a sufficient candidate pool has been collected. Job posting may come down early due to volume of applicants.
_At UnitedHealth Group, our mission is to help people live healthier lives and make the health system work better for everyone. We believe everyone-of every race, gender, sexuality, age, location and income-deserves the opportunity to live their healthiest life. Today, however, there are still far too many barriers to good health which are disproportionately experienced by people of color, historically marginalized groups and those with lower incomes. We are committed to mitigating our impact on the environment and enabling and delivering equitable care that addresses health disparities and improves health outcomes - an enterprise priority reflected in our mission._
_UnitedHealth Group is an Equal Employment Opportunity employer under applicable law and qualified applicants will receive consideration for employment without regard to race, national origin, religion, age, color, sex, sexual orientation, gender identity, disability, or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations._
_UnitedHealth Group is a drug-free workplace. Candidates are required to pass a drug test before beginning employment._
View Now
9