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Compliance Quality Assurance Manager (US) Job Opening In Mount Laurel Township – Now Hiring TD

Compliance Quality Assurance Manager (US)

    United States Jobs Expertini Expertini › United States › Jobs › Mount Laurel Township › Business Operations Specialists › Compliance Quality Assurance Manager (Us)

Job description

Description

Summary:

The Compliance Testing Manager is responsible for planning and overseeing independent Compliance testing completed by specialists.

May execute some independent testing as applicable.

This role provides subject matter expertise on Compliance controls/processes and is responsible for leading all phases of the assigned testing engagement.

Depth & Scope:

  • Works independently and be accountable for acting as a lead in executing engagements and provides work direction to others on those engagements
  • Considered subject matter expert in Compliance testing methodologies
  • Provides subject matter expertise and/or guidance to various stakeholders and team members
  • Advanced knowledge of external competition, industry and/or market trends in relation to own function/business
  • Scope of role may have enterprise impact
  • Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
  • Independently performs concurrent multiple reviews and related tasks from end to end
  • May act as highest point of team escalation for resolution and provides direction to resolve issues or escalates

    • Education & Experience:

  • Undergraduate degree or equivalent work experience
  • 7+ years of experience

    • Desired Skills & Experience:

  • CPA, CIA, CFE, CRCM or equivalent a plus
  • 8+ years of internal audit, testing and/or quality assurance experience
  • Knowledge of financial institution laws/regulations, strategies and risk management/compliance programs
  • Possesses and demonstrates expertise in the advisory of policy, change management, project management and operations
  • Skilled in using computer applications including MS Office suite, with a focus on Excel and PowerPoint
  • High personal and professional integrity and standards to advance TD's vision and protect the brand
  • Strategic critical thinker: has excellent judgment, achieves the right risk/reward balance
  • Delivers on objectives, focuses on what matters and can work across silos to build effective working relationships
  • Clear and concise verbal and written communication skills

    • Customer Accountabilities:

  • Executes and manages testing activities in accordance with established standards and strategic direction to achieve completion within target timelines
  • Executes follow-up on findings raised from testing engagements in accordance with established standards
  • Conducts skilled analytical research and analysis as part of testing engagement and initiatives
  • Understands risk identification, risk analysis, and risk mitigation according to regulatory requirements and best business practices
  • Develops strong relationships and works collaboratively with key partners
  • Oversees/leads the testing engagement, including communications and the reporting processes
  • Provides subject matter expertise and/or input to projects/initiatives as a representative for area of specialization
  • Proactively identifies matters which require additional attention, further escalation, or review, and liaises with the appropriate staff to resolve

    • Shareholder Accountabilities:

  • Prioritizes and manages workload to deliver quality results and meet testing timelines
  • Contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies for area of responsibility
  • Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines
  • Clearly and concisely documents research as required to understand requirements specific to an engagement
  • Protects the interests of the organization – identifies and manages risks, and escalates non-standard, high risk transactions/activities as necessary
  • Applies subject matter expertise in the discipline, provides guidance, assistance, and direction to others
  • Actively manages relationships within and across various business lines, corporate and/or control functions, and drives alignment with enterprise and/or regulatory requirements
  • Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where required
  • Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
  • Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
  • 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
  • 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.

    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.

    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.

    Required Skill Profession

    Business Operations Specialists


    • Job Details

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    Unlock Your Compliance Quality Potential: Insight & Career Growth Guide


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    264 Jobs in Mount Laurel Township
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    Are You Looking for Compliance Quality Assurance Manager (US) Job?

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    The Work Culture

    An organization's rules and standards set how people should be treated in the office and how different situations should be handled. The work culture at TD adheres to the cultural norms as outlined by Expertini.

    The fundamental ethical values are:

    1. Independence

    2. Loyalty

    3. Impartiapty

    4. Integrity

    5. Accountabipty

    6. Respect for human rights

    7. Obeying United States laws and regulations

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    The average salary range for a varies, but the pay scale is rated "Standard" in Mount Laurel Township. Salary levels may vary depending on your industry, experience, and skills. It's essential to research and negotiate effectively. We advise reading the full job specification before proceeding with the application to understand the salary package.

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    Key qualifications for Compliance Quality Assurance Manager (US) typically include Business Operations Specialists and a list of qualifications and expertise as mentioned in the job specification. The generic skills are mostly outlined by the . Be sure to check the specific job listing for detailed requirements and qualifications.

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    Interview Tips for Compliance Quality Assurance Manager (US) Job Success

    TD interview tips for Compliance Quality Assurance Manager (US)

    Here are some tips to help you prepare for and ace your Compliance Quality Assurance Manager (US) job interview:

    Before the Interview:

    Research: Learn about the TD's mission, values, products, and the specific job requirements and get further information about

    Other Openings

    Practice: Prepare answers to common interview questions and rehearse using the STAR method (Situation, Task, Action, Result) to showcase your skills and experiences.

    Dress Professionally: Choose attire appropriate for the company culture.

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    Follow Up: Send a thank-you email to the interviewer within 24 hours.

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    Be Yourself: Let your personality shine through while maintaining professionalism.

    Be Honest: Don't exaggerate your skills or experience.

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    To prepare for your Compliance Quality Assurance Manager (US) interview at TD, research the company, understand the job requirements, and practice common interview questions.

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