Audit Manager I (US) - Financial Crimes

Audit Manager IWork Location: New York, New York, United States of AmericaHours: 40Pay 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: AuditJob 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 provide subject matter expertise on audits ranging in complexity. May manage/lead a number of moderately complex audits, related engagement and/or projects/initiatives. and has responsibility for completion of the audit.Depth & Scope:Works as an audit subject matter expert and may coach and educate othersOversees and/or independently performs audits from end-to-endMay lead moderately complex audits and have responsibility for completion of the auditUndertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertiseAbility to process and handle confidential information with discretionEducation & Experience:Undergraduate degree required5+ years of relevant experiencePreferred Skills:Judgment and Analytical Skills - Exhibits strong judgment regarding the sufficiency of evidence, the appropriate depth of testing, and the severity of issues identified during audits.Specialized Auditing Skills - Possesses robust auditing skills, with particular expertise in the area of Financial Crimes.Work Ethic and Independence - Able to work both independently and with a sense of urgency.Issue Validation and/or Financial Crimes Experience - Experienced in Issue Validation, confirming that corrective actions have been implemented and are effective in addressing identified deficiencies.Technical Proficiency - Proficient in using MS Office, Power BI, AI and supporting data analysis and reporting requirements within the audit function.Preferred Certifications - Such as Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), and Certified Fraud Examiner (CFE) are preferred.In-office work is strongly preferred; however, remote candidates outside the TD footprint may be considered at the hiring manager's discretion if their skills and experience closely align with the role.Customer Accountabilities:Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completionExecutes testing of controls such as but not limited to walkthroughs (leading and documentation), test scripts (development and execution), and issue management (identification and capturing in the grid)May execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit ReportMay complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)Contributes to the audit planning process for specific audits, ensuring appropriate programs and audit risk assessments are completed accordinglyManages the ongoing audit communications process with the stakeholders during and subsequent to the auditPresents 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 stakeholders and audit managementExecutes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policyProvides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risksShareholder 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 areaMay develop and provides complex reporting, analysis, and assessments at the functional or enterprise levelPrioritizes and manages own workload to deliver quality results and meet assigned timelinesKeeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and apply them where appropriateDevelops and delivers audit findings, presentations / communications to management or broader audienceAssesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where requiredContributes to the analysis, due diligence and implementation of initiatives within defined area of responsibilityEmployee/Team Accountabilities:Continuously enhances knowledge / expertise in own areaSupports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues / points of interestIdentifies and recommends opportunities to enhance productivity, effectiveness and operational efficiencyEstablishes effective relationships across multiple businessesParticipates in knowledge transfer within the team and business unitsWorks to achieve individual goals and support other team members in the achievement of team goals and divisional objectivesPhysical Requirements:Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%Domestic Travel – OccasionalInternational Travel – NeverPerforming sedentary work – ContinuousPerforming multiple tasks – ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds – OccasionalSitting – ContinuousStanding – OccasionalWalking – OccasionalMoving safely in confined spaces – OccasionalLifting/Carrying (under 25 lbs.) – OccasionalLifting/Carrying (over 25 lbs.) – NeverSquatting – OccasionalBending – OccasionalKneeling – NeverCrawling – NeverClimbing – NeverReaching overhead – NeverReaching forward – OccasionalPushing – NeverPulling – NeverTwisting – NeverConcentrating for long periods of time – ContinuousApplying common sense to deal with problems involving standardized situations – ContinuousReading, writing and comprehending instructions – ContinuousAdding, subtracting, multiplying and dividing – ContinuousThe 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.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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.Our Total Rewards Package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental