Senior Manager, Compliance Testing (5193)

Work Location: Markham, Ontario, Canada

Hours: 37.5

Line of Business: Compliance

Pay Details: $115,600 - $163,200 CAD

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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.

Job Description:

Job Description Summary

Reporting to the Associate Vice President, Compliance Testing, the Senior Manager is accountable for leading the strategic delivery and continuous evolution of the independent Compliance Testing Program across the Wealth & TDAM portfolio.

The Senior Manager leads a team of Compliance Testing professionals responsible for delivering independent, risk-based testing that provides meaningful assurance over regulatory compliance, control effectiveness and risk management practices. The role is accountable for ensuring testing activities are outcome-focused, evidence-based and aligned with enterprise priorities, regulatory expectations and emerging risks.

As a trusted advisor to senior Compliance and business leaders, the Senior Manager provides credible independent challenge, delivers insightful risk perspectives and partners across the organization to strengthen governance and the overall control environment.

Beyond overseeing testing execution, the Senior Manager is expected to continuously improve testing methodologies, enhance reporting and data-driven insights, identify opportunities to simplify and modernize the testing program, and build a high-performing team recognized for technical excellence, sound judgement and accountability.

KEY ACCOUNTABILITIES

CUSTOMER

• Own the strategic delivery of the Compliance Testing portfolio across the Wealth & Insurance businesses, ensuring testing activities are aligned to enterprise priorities, regulatory expectations and emerging risks.

• Lead the planning, execution and oversight of complex Compliance Testing engagements, ensuring testing is risk-based, outcome-focused, evidence-driven and provides meaningful independent assurance.

• Drive excellence in testing quality by ensuring engagements are consistently executed with sound professional judgement, appropriate challenge, clear documentation and well-supported conclusions.

• Provide effective independent challenge over testing scope, methodology, control effectiveness assessments, issue ratings, root cause analysis and management remediation plans.

• Ensure testing conclusions provide meaningful insight into the effectiveness of the control environment rather than simply validating procedural compliance.

• Develop and maintain deep expertise in Wealth & Insurance businesses, products, regulatory requirements and emerging compliance risks to ensure testing remains relevant and value-added.

• Identify emerging risk themes, control weaknesses and systemic issues through portfolio analysis and testing results, proactively recommending enhancements where appropriate.

• Serve as the senior subject matter expert on Compliance Testing methodology, independent challenge and outcome-based testing practices.

• Continuously evaluate testing methodologies, standards and operating practices to improve quality, consistency, efficiency and overall effectiveness of the Compliance Testing Program.

• Leverage data, reporting and analytics to strengthen testing insights, identify thematic risks and support informed decision making.

• Deliver concise, insightful and executive-ready reporting that clearly communicates testing outcomes, risk implications and recommended actions.

SHAREHOLDER

• Build trusted relationships with senior Compliance Officers, Wealth & Insurance executives, business leaders, Enterprise Compliance, Audit, Risk Management and other control partners.

• Influence stakeholders through credible challenge, thoughtful recommendations and practical solutions that strengthen governance and risk management practices.

• Contribute to the strategic direction of the Compliance Testing Program by identifying opportunities to enhance methodologies, operating models, reporting and portfolio management.

• Champion a culture of continuous improvement by proactively identifying opportunities to simplify processes, improve efficiency and strengthen the overall effectiveness of the testing program.

• Identify opportunities to leverage data, reporting enhancements and appropriate technology solutions to improve testing quality, consistency and operational effectiveness.

• Monitor evolving regulatory expectations, industry trends and emerging risks to ensure the Compliance Testing Program remains current and responsive.

• Lead or contribute to enterprise initiatives requiring Compliance Testing expertise, representing the function with credibility and professionalism.

• Balance testing demand, resource capacity and portfolio priorities while maintaining quality, consistency and timely execution.

• Escalate significant risks, systemic issues and emerging concerns in a timely manner, providing balanced recommendations and practical solutions.

• Support annual portfolio planning and longer-term strategic initiatives that position the Compliance Testing Program to meet future business and regulatory needs.

EMPLOYEE / TEAM

• Build and lead a high-performing team that consistently delivers high-quality, insightful and value-added Compliance Testing outcomes.

• Establish clear expectations, promote accountability and create an environment where excellence, ownership and collaboration are expected.

• Coach, mentor and develop leaders by providing ongoing feedback, meaningful development opportunities and succession planning.

• Foster a culture of intellectual curiosity, sound judgement and constructive challenge where team members think critically, question assumptions and continuously seek better ways of working.

• Recruit, develop and retain top talent with strong technical expertise, leadership capability and commitment to delivering exceptional results.

• Promote collaboration, knowledge sharing and consistency across the Compliance Testing function to strengthen organizational capability.

• Lead through change by helping teams successfully adopt evolving methodologies, technologies and business priorities.

• Recognize and reinforce strong performance while addressing performance concerns in a timely and constructive manner.

• Encourage continuous learning and professional development to ensure the team remains current with regulatory expectations, industry practices and evolving testing methodologies.

BREADTH & DEPTH

• Lead a highly complex Compliance Testing portfolio involving significant regulatory risk, executive stakeholder engagement and enterprise-wide impact.

• Exercise sound judgement in evaluating complex control environments, interpreting regulatory requirements and determining appropriate testing strategies.

• Serve as the senior escalation point for complex testing matters requiring independent judgement, executive influence and balanced decision making.

• Shape the future evolution of the Compliance Testing Program by recommending enhancements to testing methodologies, operating practices and overall program effectiveness.

• Influence enterprise decision making through objective risk insights, independent challenge and data-driven recommendations.

• Anticipate emerging risks, industry developments and changing regulatory expectations to ensure the testing program remains proactive and relevant.

• Balance strategic priorities with operational execution while managing multiple complex initiatives across the portfolio.

• Demonstrate enterprise thinking by aligning Compliance Testing activities with business strategy, regulatory expectations and enterprise risk priorities.

REQUIRED EXPERIENCE & EDUCATION

• Undergraduate degree, Masters Degree or equivalent work experience

• Strong project management and organization skills to lead multiple testing engagements, and large projects/initiatives

• Deep industry and business knowledge and expertise on risk and control functions

• 10+ years of progressive experience within Compliance Testing, Compliance, Risk Management, Audit or other independent oversight functions within a large financial institution.

• Demonstrated experience leading complex Compliance Testing portfolios within a highly regulated environment.

• Deep expertise in independent Compliance Testing methodologies, control design and operating effectiveness assessments, outcome-based testing and independent challenge principles.

• Strong understanding of Wealth & Insurance products, regulatory obligations, compliance risks and control environments.

• Proven ability to influence senior leaders and build trusted relationships across business and control functions.

• Demonstrated success leading high-performing teams, developing leaders and driving organizational excellence.

• Experience identifying and implementing continuous improvement initiatives that enhance testing quality, efficiency and overall program effectiveness.

• Strong analytical, critical thinking and problem-solving skills with the ability to assess complex issues, exercise sound judgement and make balanced risk-based decisions.

• Excellent written and verbal communication skills with the ability to communicate complex information clearly and effectively to executive audiences.

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional 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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only): Sans Objet