Audit Manager I (US)

Senior Audit ManagerWork location: New York, New York, United States of AmericaHours: 40Pay details: $72,280 - $117,520 USDTD 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:Why work with us?At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.The ideal candidateThe ideal candidate will thrive in a fast-paced setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.Beyond technical expertise, we're looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.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.The 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 accountabilityRequires enterprise or functional expert, requiring broad and deep specialized knowledge at the enterprise level for certain teamsMay lead and/or provide senior supervisory oversight to very complex audits and ensure completionUndertakes and completes a variety of complex audit initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processesAdvanced knowledge of external competition, industry and/or market trends in relation to own function / businessTypically deals with senior/executive managementMay manage and prioritize concurrent multiple projects at a given timeSupports operational team direction and collaborates with others to execute on common goalsFocuses on long term planning for functional areaAbility to process and handle confidential information with discretionEducation & experience:Undergraduate degree required5+ years of relevant experiencePreferred skills & experience:Over 5 years as an internal auditor (AML, BSA, testing, CoE) work experience with an undergraduate degreeRelevant professional certifications, accounting designations (CAMS and/or CIA strongly preferred)Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applicationsProficient to work multi-functionally, provide guidance to other team members and ensure good relations across teams and functions to work on projects that may require integration of cross functional processesStrong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environmentCustomer 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 – occasional