TD Bank

Senior Audit Group Manager (US) - Financial Crimes

TD Bank • $123K — $201K *
Charlotte, NC 28269In-Person
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Undergraduate degree required
  • 10+ years of relevant audit experience
  • Strong communication and relationship-building skills
  • Proficient in Microsoft Office and data analytics
  • Certifications in CIA, CFE, CAMS encouraged

Responsibilities

  • Lead and manage a diverse audit team
  • Oversee multiple complex audits and projects
  • Communicate and build relationships with stakeholders
  • Review audit work for quality assurance
  • Engage in continuous monitoring and data analysis
  • Provide coaching and feedback to team members
  • Ensure compliance with internal policies and regulations

Benefits

  • Opportunities for professional development and skill enhancement
  • Supportive work culture promoting teamwork and quality
  • Encouragement for continuous improvement and operational efficiencies
  • Potential involvement in future recruiting efforts
  • Leadership opportunities within the audit field
Full Job Description
Work Location:
New York, New York, United States of America

Hours:
40

Pay Details:
$123,880 - $201,290 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:
Audit
Job Description:

The Senior Audit Group Manager leads and develops a team of audit professionals and is responsible for overseeing, planning and executing audits and / or projects of varying complexity and may act as a subject matter expert in own area of expertise. Accountable to provide guidance, leadership, coaching and development to ensure operational results and professional / personal development objectives are achieved for the overall group.

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 required
  • Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope
  • People Manager role that generally manages a team of Audit professionals / specialists
  • Strategic advisor to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas
  • Facilitates key strategic audit discussions and provide thought leadership to executives
  • Sets operational team direction and collaborate with others to execute on common goals
  • Focuses on long term planning for functional area
  • Ability to process and handle confidential information with discretion


Education & Experience:
  • Undergraduate degree required
  • 10+ years of relevant experience


Desired Skills & Traits:
  • Strong communication, ability to coach and motivate, self-starter, punctuality, "act like an owner" (accountability), attention to detail, and relationship-building skills.
  • Technical Skills: Advanced Microsoft Office (Excel, PowerPoint), data analytics, and general understanding/experience with AI (e.g., creating agents).
  • Certifications (Nice to Have/Encouraged):
  • CIA, CFE (Certified Fraud Examiner)
  • CAMS (Certified Anti-Money Laundering Specialist) is highly encouraged, though not a mandatory HR requirement.
  • PMP (Project Management Professional)
  • Other regulatory certifications (e.g., Global Compliance Certificate).


Day-to-Day Responsibilities:
  • Managing multiple audits (up to two per quarter).
  • Overseeing AICs and testers.
  • Stakeholder communication and relationship building.
  • Reviewing audit work for quality and detail.
  • Engaging in non-audit activities like continuous monitoring, quarterly reporting, data analysis, and memo writing.
  • Taking ownership and accountability for audit outcomes, including remediating QC/QA findings.
  • Performance management, providing feedback, and escalating critical issues to executives.
  • Contributing to team culture, coaching, and potentially involved in future recruiting efforts.


Customer Accountabilities:
  • Develops, communicates and implements a holistic strategy for audit area of expertise in support of and integrated with the overall audit strategy
  • Oversees / leads / manages and plans audit engagement work activities to ensure adequate risk coverage which may require alignment across multiple areas
  • Review of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
  • Completes L2 reviews / sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
  • Acts as lead audit advisor to management and respective teams for area of specialization. Reports on emerging trends, identifying issues and opportunities and recommending action to senior management
  • Acts as a strategic audit advisor by providing counsel and guidance on audit issues. Leads relationships with key enterprise partners and interface with respective leadership team to effectively manage own audit area and clarify scope of accountabilities while influencing and aligning others as needed
  • Ensures an integrated and aggregated view of all related activities across the overall function providing escalations, recommendations, and decision support to leadership
  • Forecasts initiatives and demand, and coordinates prioritization of the portfolio / initiatives with key stakeholders
  • Provides functional / business level communications to ensure messages to stakeholders and/or leaders are consistent, appropriate and aligned to business strategies and executive management direction
  • Leads the team in the development and/or integrated implementation of policies / processes / procedures / changes across multiple audit areas


Shareholder Accountabilities:
  • Ensures team 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 potential opportunities to improve operational efficiencies for their business area
  • Leads relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
  • Supports team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
  • Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders and audit management where required
  • Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
  • Identifies, mitigates and reports on risk issues per enterprise policy / guidelines and ensures appropriate escalation processes are followed
  • Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations
  • Oversees or leads the facilitation and/or implementation of own internal audit action/remediation plans to address performance / risk / governance issues


Employee/Team Accountabilities:
  • Responsible for management of the overall team(s) providing both leadership and guidance.
  • Sets targets and objectives for the team, and deliver results
  • Grows team expertise to align with enterprise demand and the Bank's direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
  • Fosters an environment / culture that encourages productivity, innovation, process improvement, teamwork and a high level of professionalism
  • Co-ordinates necessary resources to ensure completion of Audit assignment by deadlines
  • Provides coaching, development, succession, recruitment, resource management and overall team leadership for team members and provide regular input into team members' assessment of performance and development plans
  • Prioritizes and manages own workload in order to deliver quality results and meet timelines
  • 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 business areas
  • Participates in knowledge transfer within the team and business units
  • Supports and manages teams through change
  • Is a brand ambassador for Internal Audit both internally to the bank and 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.

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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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