Senior Auditor (US) Compliance

Work Location:Charlotte, North Carolina, United States of AmericaHours:40Pay Details:63,540.00 - 104,020.00 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:Depth & Scope:Experienced audit professional role providing guidance / assistance to function supportedRequires sound audit or business conceptual knowledgeIndependently performs tasks from end to end as assignedAbility to process and handle confidential information with discretionEducation & Experience:Undergraduate degree required3+ years of relevant experienceCustomer 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 (documentation), test scripts (development and execution), and issue identificationHelps coordinate communication with the stakeholders throughout the audit processSupports the team in reviewing internal controls and sharing findings and suggestions with both the stakeholders and audit leadershipExecutes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policyProvides input to audit projects/initiatives as a representative for area of specializationShareholder 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 provide 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 applies them where appropriateAssists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit processAssesses / 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 ensure 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.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 PackageOur 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 moreAdditional 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 DevelopmentIf you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.Training & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.AccommodationTD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at View email address on click.appcast.io . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. #J-18808-Ljbffr