TD Bank

Audit Manager I

TD Bank • $110K — $130K *
New York, NY 10025In-Person
Legal & Accounting
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Undergraduate degree or relevant certification required
  • 5+ years of relevant audit experience
  • Proficient in audit standards and regulations
  • Knowledge of AI and emerging technology risks
  • Skilled in mentoring and coaching others
  • Effective written and verbal communication abilities
  • Ability to work independently and in teams.

Responsibilities

  • Execute audits for assigned businesses or projects as part of a team or independently
  • Utilize AI and emerging technologies to improve audit processes
  • Lead and oversee moderately complex audits from start to finish
  • Plan audits and manage interaction with management regarding scope and findings
  • Conduct follow-ups on audit findings and supervise task completion
  • Provide on-the-job training and support to audit staff
  • Participate in special projects as needed.

Benefits

  • Professional development and growth opportunities
  • Access to advanced technologies in audit
  • Positive work environment that encourages collaboration
  • Opportunities to lead and mentor audit teams
  • Support for pursuing relevant certifications.
Full Job Description
Work Location:
New York, New York, United States of America

Hours:
40

Line of Business:
Audit

Pay Detail:
$110,000 - $130,000 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.

Job Description:

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provides expertise on audits ranging in complexity. This role may lead moderately complex audits and have responsibility for completion of the audit.

Depth & Scope:
  • Utilize AI and emerging technologies to enhance audit planning, testing, reporting and operational efficiency.
  • Works as an audit subject matter expert and may coach and educate others
  • Oversees and/or independently performs audits from end to end
  • May lead moderately complex audits and have responsibility for completion of the audit
  • Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise
  • Ability to process and handle confidential information with discretion
  • Generally leads a team focused on assigned audit and generally assumes the lead position on the audit, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report
  • Responsible for time and staffing budgets for upcoming audits
  • Responsible for planning of audits
  • Responsible for contact with management regarding audit scope, status, and findings
  • May perform testing procedures for more critical areas of audits
  • Provides on-the-job training for staff
  • Supervises findings follow up tasks with management and audit staff
  • May be Auditor in Charge on an Audit
  • May participate and/or lead assigned special projects
  • Provides feedback on staff performance on an audit project basis


Education & Experience:
  • Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required
  • 5+ years of relevant experience
  • Proficient knowledge of audit standards, procedures, laws, rules and regulations
  • Knowledge of AI, machine learning concepts and emerging technology risks
    Demonstrated ability to perform data-driven audits and leverage technology to enhance audit effectiveness.
  • Knowledge of current and emerging trends
  • Skilled in mentoring/coaching others
  • Skilled in using computer applications including MS Office
  • Ability to communicate effectively in both oral and written form
  • Ability to work collaboratively and build relationships
  • Ability to work successfully as a member of a team and independently
  • Ability to exercise sound judgement in making decisions
  • Ability to analyze, organize and prioritize work while meeting multiple deadlines
  • Strong knowledge of laws and regulations governing the banking industry
  • Certification highly preferred or willingness to pursue certification
  • Travel 25% or more


Customer Accountabilities:
  • Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion
  • Develops/contributes to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly
  • Manages the ongoing audit communications process with the client during and subsequent to the audit
  • Presents objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit management
  • Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
  • Provides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization
  • Leads/supports the audit engagement and risk assessment process to identify key risks and identifies opportunities where controls are missing or are inadequate to mitigate these risks


Shareholder Accountabilities:
  • Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assists in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area
  • May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level
  • Keeps current on emerging trends/developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriate
  • Develops and delivers audit findings, presentations/communications to management or broader audience
  • Contributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility


Employee/Team Accountabilities:
  • Continuously enhances knowledge/expertise in own area
  • Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interest
  • Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
  • Establishes effective relationships across multiple businesses
  • Participates in knowledge transfer within the team and business units
  • Works to achieve individual goals and supports other team members in the achievement of team goals and divisional objectives


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.

About TD Bank

TD Securities offers a range of advisory and capital market services to its clients. The company's range of services includes research, investment banking, capital markets, and global transaction banking. Research consists of commodity and equity research. Investment banking consists of mergers, acquisitions, industry expertise, and credit origination. Global transaction banking consists of trade finance, cash management, and correspondent banking. TD Securities was founded in 1855 and is based in Ontario.

TD Bank Careers

Join the vibrant team at TD Bank, one of North America's leading financial services organizations, where innovation, leadership, and growth go hand in hand. At TD Bank, we are committed to fostering a culture of diversity and inclusion, making it an ideal place for ambitious professionals to thrive. Work You’ll Do At TD Bank, your professional journey is bolstered by a robust support system. From your first interview to every career milestone, you will find opportunities for growth and leadership. Our team is dedicated to helping you develop the skills necessary for success in the ever-evolving financial sector. TD Bank offers a variety of job opportunities across multiple fields, from customer service to investment banking. Each position at TD Bank is a chance to contribute to our culture of innovation and exceptional client service. Internship Programs Kickstart your career with a TD Bank internship. Our programs provide invaluable industry exposure and hands-on experience, making them a perfect starting point for students and recent graduates eager to make their mark in the banking industry. Interns at TD Bank enjoy the unique opportunity to work alongside seasoned professionals, gaining insights that are crucial for future employment. Benefits and Growth TD Bank is deeply committed to the well-being and continuous growth of our team members. We offer competitive benefits packages that cover health, finance, and family care. Our employees enjoy comprehensive health insurance, retirement plans, and generous paid time off, among other perks. Moreover, TD Bank encourages professional development through various training programs, including leadership development and diversity training. These initiatives ensure that our team remains at the forefront of industry standards and best practices. Join Our Team Explore the numerous career paths available at TD Bank and discover how your skills and interests align with our mission. We are actively hiring and continually looking for talented individuals who are passionate about banking and customer service. Networking and Professional Development At TD Bank, we believe in the power of networking and collaboration. Our employees have access to a wide range of networking events, workshops, and seminars that promote career development and professional growth. These platforms not only enhance your professional skills but also expand your industry connections. Stay Connected Keep up to date with the latest at TD Bank Careers by subscribing to our job alert emails. Tailor your subscription to match your career preferences and get the latest news, insider tips, and job opportunities delivered straight to your inbox. Explore job opportunities at TD Bank and be part of a team that values hard work, creativity, and a diverse workplace culture. Your next great career move is just a click away. SEARCH TD BANK JOBS Join us at TD Bank and let your ambition lead you to a rewarding career filled with opportunities to learn, grow, and innovate.
Learn more about TD Bank
Size
90,000 employees
Market Cap
$117.9 billion
Industry
Finance & Insurance
Net Income
-$6.9 million
5 Year Trend
+6.6%
* Ladders Estimates

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