Senior Manager, Compliance Validations (US)

We need to output HTML fragment with sections: Use

for headings: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections if posting has real specific content. We have location, hours, pay details. Also description includes "Why Work with Us?" etc. We need to parse content. We must not repeat job title as heading. No Job ID. We need to preserve all substantive info, remove boilerplate (cookie/navigation/legal/EEO etc). There's no explicit EEO but there is some generic statements about TD commitment etc. Those might be considered boilerplate? The instruction: remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. The text includes "TD is committed to providing fair and equitable compensation opportunities to all colleagues." That's maybe boilerplate but it's about compensation. Might be considered generic but it's part of compensation description. Probably keep as part of Pay section? It's about compensation policies. Might keep. We need sections: About the role (maybe summary), Responsibilities (duties), Requirements (education/experience), Qualifications (desired qualifications), Skills (maybe list of skills), Benefits (if any), Pay (pay details), Schedule (hours). Let's extract. From posting: Work Location: Charlotte, North Carolina, United States of America Hours 40 Pay Details $115,440 - $173,160 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 Monitoring And Testing Team Summary U.S. Compliance Monitoring and Testing sits within second line Compliance and is responsible for the execution of independent, risk-based compliance testing and validation activities 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. Issue validations are the independent assessment of the appropriateness, completeness, effectiveness, and sustainability of corrective actions taken to address situations defined as issues. Duties The Senior Compliance Testing Manager is responsible for strategic planning and overseeing validations of issues identified by first and second line and tied to compliance risk. This role provides subject matter expertise on Compliance controls/processes and testing and validation execution and is responsible for managing the inventory of issue validations to be performed. Job Summary The Senior Manager, Compliance Testing oversees and develops team(s) of specialists and/or managers conducting independent Compliance testing to meet regulatory and internal requirements. This role provides guidance, leadership, coaching, and development to achieve desired operational results and professional/personal development objectives for the overall group. Provides assistance/expertise to other Compliance testing teams as appropriate. Depth & Scope Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as requiredResponsible for the timely execution of the Compliance testing planTypically deals with senior/executive management in communicating Compliance testing resultsLeverages deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas through testing engagementsProvides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals cascade to all workersGuides talent identification and development processesKey contact for dealing with a range of complex issues, including non-routine informationManages and prioritizes the team to deliver on multiple reviews and projects at a given timeIdentifies and leads problem resolution for project/program complex requirements related issues at all levels Education & Experience Undergraduate degree or equivalent work experience10+ years of experience Desired Qualifications Prior experience managing teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standards.Prior testing, audit or business operations experience in areas involving regulatory compliance.Prior experience with execution of testing, validation or audit activities.Detail oriented and well-developed organizational, time management and project management skills.Strong verbal and written communication skills.Ability to manage multiple tasks and competing priorities.Proficiency with Microsoft Office applications.CRCM certification preferredKnowledge and experience with risk management environment, standards, and regulations.Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, standards, systems, reporting and training requirementsKnowledge of current and emerging trends, including regulatory expectations and standards for effective compliance management systemsAbility to research, interpret and summarize relevant regulatory expectations, laws, regulations and impacts to Compliance Program elementsSkill in using computer applications including MS Office and TableauSkill in using advanced analytical software tools, data analysis methods and specialized reporting techniquesAbility to independently identify, assess, and escalate issues requiring senior management attention. Customer Accountabilities Manages teams of compliance testing specialists and/or managers in the execution of Compliance Testing engagements and validation of action plans in accordance with established standardsConducts skilled analytical research and analysis as part of the testing engagement and initiativesDevelops, implements, tracks, and reports on Compliance testing schedulesProvides overall strategic direction to support the Compliance Testing Program, Procedures, and processes so that they stay current with established standards and regulatory expectationsActs as a subject matter expert and strategic advisor by providing guidance on Compliance issues to management, business units, and respective teams for area of specializationReports on emerging trends, identifying risks and opportunities, and recommending action to senior managementUnderstands risk identification, risk analysis, and risk mitigation according to the regulatory requirements and best business practicesSupports relationships with key partners to effectively manage and clarify scope of accountabilities while influencing and aligning others as neededProvides functional/business level communications to stakeholders and/or leaders that are consistent, appropriate, and aligned with strategic direction Shareholder Accountabilities Works closely with key business leaders to develop business plan, ensuring the optimal use of resources and leverages TD’s operating model to maximize efficiency, effectiveness and scalePlans and executes on strategic activities, reviews and communicates results, and adjusts tactics accordinglyMaintains extensive knowledge of business units and regulatory requirements/compliance issues within the Compliance areaProvides subject matter expertise, complex analysis and advice to business partners/team and applies knowledge in following up on outcomes, investigating and/or enforcing policyIdentifies and implements opportunities for continuous improvement in the Compliance Testing ProgramLeads relationships with business lines/corporate and/or control functions to promote alignment with enterprise and/or regulatory requirementsSupports team and management in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the BankAssesses/identifies key issues and escalates to management where requiredSupports the facilitation of action/remediation plans as a result of an internal audit and/or regulator review of Compliance Testing ProgramKeeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the BankMaintains a culture of risk management and control, supported by effective processes in alignment with risk appetite Employee/Team Accountabilities Responsible for management of the overall team providing both leadership and guidanceSets targets and objectives for the team, and delivers resultsGrows team expertise to align with business/enterprise demand and direction; assesses team skills and capabilities and continually looks for ways to provide and enhance the value deliveredLeads a high performing team; provides on-going feedback and performance reviews, coaches and develops employees and ensures performance management activities are undertaken and completed for all employeesLeads the process of setting performance objectives for the team; tracks, monitors and effectively addresses and/or rewards performance in a timely mannerManages employees in compliance with all human resources policies, procedures and guidelines of conductShares knowledge, information, skills, and subject matter expertise among the team and promotes the timely communication of issues and encourages good working relationships with other functions and teamsSupports an environment where team freely escalates business challenges; facilitates change through positive reinforcement of milestones and successesRecruits for all hires to ensure a highly diverse, qualified workforce to achieve business objectivesEstablishes and fosters a cohesive team; promotes a fair and equitable environment that supports a diverse workforce and encourages the team to achieve common goals and objectivesActs 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 – OccasionalInternational Travel – NeverPerforming sedentary work – ContinuousPerforming multiple tasks – ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds – OccasionalSitting – ContinuousStanding – OccasionalWalking – OccasionalMoving safely in confined spaces – OccasionalLifting/Carrying (under 25 lbs.) – OccasionalLifting/Carrying (over 25 lbs.) – NeverSquatting – OccasionalBending – OccasionalKneeling – NeverCrawling – NeverClimbing – NeverReaching overhead – NeverReaching forward – OccasionalPushing – NeverPulling – NeverTwisting – NeverConcentrating for long We need to extract sections. About the role: Could be the "Why Work with Us?" and "Job Description" summary. We'll create a paragraph summarizing role. Responsibilities: Duties, Job Summary, Depth & Scope, Customer Accountabilities, Shareholder Accountabilities, Employee/Team Accountabilities. Could combine into a list. Requirements: Education & Experience (Undergraduate degree or equivalent work experience, 10+ years of experience). Qualifications: Desired Qualifications list. Skills: maybe list of skills from Desired Qualifications (detail oriented, communication, etc). But we already have Qualifications section; Skills could be separate but we might combine. However instruction: prefer few substantive sections over many thin ones. So we could merge Skills into Qualifications or Responsibilities. But we need to follow headings list; we can include only those with real content. We could include Skills as a subsection list of specific skills (e.g., proficiency with MS Office, Tableau, advanced analytical tools). But those are already in Desired Qualifications. Might be redundant. Better to have Qualifications section