Work Location:
Charlotte, North Carolina, United States of America
Hours:
40
Pay Details:
$110,760 - $166,400 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.
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Line of Business:
Governance & Control
Job Description:
We are seeking an experienced Senior Manager within the Platforms and Technology Governance organization to oversee and lead all efforts aligned to the successful execution of the yearly SOX (Sarbanes-Oxley) testing program. This critical role will be integral to bring an operational mindset to the yearly execution of the program by collaborating with key stakeholders and delivery partners across the organization. A key focus on process and documentation will be needed to ensure a high-level of quality is achieved.
The ideal candidate will lead the execution of the annual SOX testing program with a deep expertise in regulatory compliance, business and technical control design and testing methodologies, and risk management within a complex, global banking environment. This individual will be responsible for working with and influencing leaders across the organization and staying highly connected to senior leadership across the three-lines-of-defense model to ensure alignment. To be successful in this position, the candidate must be strong with producing and presenting senior executive materials, as well as advocating and influencing senior leaders throughout the organization.
About This Role
- Lead the yearly execution of the Sarbanes-Oxley (SOX) testing program within Platforms and Technology with direct integration across all three lines of defense
- Oversee the development, implementation, and management of control testing procedures related to SOX compliance, ensuring alignment with regulatory requirements
- Monitor the execution of control tests, ensuring timelines, quality, and consistency in testing results across the organization
- Collaborate with senior executives, operational risk management, and technology leaders to ensure that testing processes meet business needs and regulatory standards
- Prepare and deliver clear and concise reports, presentations, and updates to senior management, auditors, and key stakeholders on SOX testing progress, findings, and resolutions
- Interface directly with internal and external auditors to ensure smooth and effective audit engagements, addressing concerns and driving timely resolutions
- Focus on maturing the SOX testing program by identifying and implementing efficiencies in the management and testing of controls drive scalability, automation, and continuous improvement
- Collaborate with key stakeholders to continuously refine processes, tools, and methodologies for more effective and scalable testing approaches
- Provide leadership on identifying emerging risks and opportunities for improvement in the overall cybersecurity and information security governance programs
- Identify potential weaknesses in controls, recommend remediation strategies, and track progress on mitigation efforts
- Ensure alignment of the SOX program with broader cybersecurity governance frameworks, regulatory requirements, and best practices.
Education & Experience:
- Undergraduate degree in a business related discipline is required
- 10+ years of related experience
- Risk professional with previous experience within an operations and/or technology environment
- Strong interpersonal skills with the ability to lead in a team environment
- Strong problem solving skills with ability to identify problems, recommend solutions and present recommended approach
- Previous exposure to Operational Risk, Compliance and/or Audit
- Strong negotiation skills
- Solid understanding of Project Management methodology
- Excellent verbal and written communication skills
- Ability to prioritize and meet tight timelines
- Team player who takes initiative to accomplish department objectives
- Works with minimal supervision and meets demanding turnaround times
- High proficiency in Microsoft Applications (PowerPoint, Excel, Word)
- Well organized, detailed individual with the ability to multi task in a fast paced environment with deadlines
Preferred Qualifications :
- Bachelor's degree in Information Security, Cybersecurity, Risk Management, or related field
- Expert knowledge of Sarbanes-Oxley compliance, regulatory frameworks, and cybersecurity standards Advanced certifications (CISSP, CISM, CRISC, or similar) are highly preferred
- In-depth knowledge of audit methodology and industry trends related to IT, Information Security and Cyber Security
- 10+ years of experience in cybersecurity, information security, or IT governance, with at least 3+ years in a senior leadership role focused on SOX testing, audit, or risk management
- Proven experience in managing complex SOX testing programs, including control testing, reporting, and collaboration with internal and external auditors
- Excellent communication and presentation skills, with the ability to explain complex technical issues to senior management and non-technical stakeholders
- Strong analytical and problem-solving abilities, with a focus on process improvement and operational efficiency
- Expertise in risk management frameworks and methodologies, with a deep understanding of cybersecurity governance
- Ability to manage and influence cross-functional teams, including auditors, risk management professionals, and technical leaders
- Highly organized with the ability to manage multiple priorities in a fast-paced, global environment
- Proficient in using operational and performance metrics to drive decision-making
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
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
If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.