Senior Audit Group Manager (US) - Financial Crimes

On Site New York, New York Wilmington, Delaware Charlotte, North Carolina Full time

R_1506155

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 Leaves 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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Who We Are: 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 Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more (~~~) Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. 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That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada (~~~) | US (~~~) | Europe & Asia Pacific (~~~) Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information. #J-18808-Ljbffr Nexxt, Inc.