TD Bank

Sr Audit Manager (US)

TD Bank • $120K — $150K *
US-Anywhere
+ 3 other locationsRemote
Finance & Insurance
8 - 10 years of experience
Yesterday
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • Undergraduate degree required
  • 10+ years of relevant experience
  • Must have background as an Internal Auditor with experience in AML/BSA/Testing/CoE on a Financial Crimes Team in banking/financial industry
  • Strong stakeholder relationship management experience
  • Formal people management experience required
  • Excellent verbal, oral, and written communication skills
  • Certification as CAMS/Fraud Examiner is a plus

Responsibilities

  • Accountable for significant audit areas with enterprise-wide impact
  • Leads and oversees complex audit initiatives
  • Plans, manages, and executes audit activities across multiple areas
  • Leads ongoing audit communications and reporting to key stakeholders
  • Provides expert guidance on complex audit initiatives and tests solutions
  • Acts as an audit lead for specialized areas, reporting on trends and issues
  • Facilitates discussions and provides thought leadership to senior management

Benefits

  • Growth opportunities and skill development available
  • Fosters a long-term planning focus for functional areas
  • Promotes a positive work environment emphasizing teamwork and innovation
  • Encourages timely communication of important issues
  • Supports knowledge transfer and overall performance management process
Full Job Description
Work Location:
New York, New York, United States of America

Hours:
40

Pay Details:

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 Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. Leads and/or provides supervisory oversight to audits and related engagements projects/initiatives and ensure completion.

Depth & Scope:
  • Accountable for a significant audit area that typically has enterprise wide or broad functional / business impact or accountability
  • Requires enterprise or functional expert, requiring broad and deep specialized knowledge at the enterprise level for certain teams
  • May lead and/or provide senior supervisory oversight to very complex audits and ensure completion
  • Undertakes and completes a variety of complex audit initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processes
  • Advanced knowledge of external competition, industry and/or market trends in relation to own function / business
  • Typically deals with senior/executive management
  • May manage and prioritize concurrent multiple projects at a given time
  • Supports operational team direction and collaborates 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


Preferred Skills & Work Experience:
  • Must be an Internal Auditor with an AML/BSA/Testing/CoE on a Financial Crimes Team background in the banking/financial industry.
  • Must have strong Stakeholder Business relationship work experience.
  • Must have Formal People Manager work experience.
  • Must have strong verbal/oral/written communication skills.
  • Certified: CAMS/Fraud Examiner is a plus


Customer Accountabilities:
  • Contributes to the strategic direction of the audit function and play a key role in the development and implementation of programs
  • Plans, leads / manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters
  • Oversees / leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
  • Oversees / leads the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area
  • Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation
  • Leads / manages the integrated implementation of policies / processes /procedures / changes across multiple functional areas
  • Acts as the audit lead or 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
  • Facilitates key discussions and provide thought leadership to executive audience


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 their business area
  • Actively manages relationships with business lines / corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
  • Keeps abreast of 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 where required
  • Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
  • Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations


Employee/Team Accountabilities:
  • Provides thought leadership and/or industry knowledge for own area of expertise
  • Encourages 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
  • Works effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services
  • Participates in knowledge transfer within the team and business units
  • Contributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits


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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