TD Bank

Senior Auditor (US) Compliance

TD Bank • $63K — $104K *
Wilmington, DE 19805Hybrid
Legal & Accounting
Less than 5 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • Undergraduate degree required
  • 3+ years of relevant experience in audit or business concept
  • Proficient in executing audit plans and standards
  • Strong ability to handle confidential information
  • Experience with internal controls and regulatory guidelines
  • Demonstrated skill in stakeholder communication

Responsibilities

  • Conducts comprehensive audit work based on established plans
  • Executes control testing including documentation and issue identification
  • Coordinates communication with stakeholders throughout the audit process
  • Reviews internal controls and presents findings to stakeholders
  • Follows up on regulatory audit findings per firm policy
  • Contributes to audit project initiatives based on area of expertise

Benefits

  • Opportunities for growth and skill development
  • Access to comprehensive training programs
  • Supportive work environment promoting quality and teamwork
  • Flexibility for occasional domestic travel
  • Employee recognition programs and initiatives
Full Job Description
Work Location:
Charlotte, North Carolina, United States of America

Hours:
40

Pay Details:
63,540.00 - 104,020.00 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:

Depth & Scope:
  • Experienced audit professional role providing guidance / assistance to function supported
  • Requires sound audit or business conceptual knowledge
  • Independently performs tasks from end to end as assigned
  • Ability to process and handle confidential information with discretion


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


Customer Accountabilities:
  • Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion
  • Executes testing of controls such as but not limited to walkthroughs (documentation), test scripts (development and execution), and issue identification
  • Helps coordinate communication with the stakeholders throughout the audit process
  • Supports the team in reviewing internal controls and sharing findings and suggestions with both the stakeholders and audit leadership
  • Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
  • Provides input to audit projects/initiatives as a representative for area of specialization


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 assist 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
  • Prioritizes and manages own workload to deliver quality results and meet assigned timelines
  • Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriate
  • Assists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit process
  • Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required
  • 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 ensure 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 support 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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