Audit Manager I (US) - Financial Crimes - AML

Work Location New York, New York, United States of America Hours 40 Pay Details

$83,450 - $125,180 USD

Line of Business Audit Job 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 provides subject matter expertise on audits ranging in complexity. May manage/lead a number of moderately complex audits, related engagements 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 others Oversees and/or independently performs audits from end-to-end May lead moderately complex audits and has responsibility for completion of the audit Undertakes and completes a variety of projects and initiatives, may include the integration of cross‑functional processes within own area of expertise Ability to process and handle confidential information with discretion Education & Experience Undergraduate degree required 5+ years of relevant experience Customer Accountabilities Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion Executes 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 Report May 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 accordingly Manages the ongoing audit communications process with the stakeholders during and subsequent to the audit Presents 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 management Executes follow‑up of findings raised from regulatory and internal divisional audits in accordance with firm policy Provides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization identifying key risks and identifying opportunities where controls are missing or are inadequate to mitigate these risks 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 assist in identifying control weaknesses / failures, potential opportunities to improve operational efficiencies for own business area May develop and provides complex reporting, analysis, and assessments at the functional or enterprise level Prioritizes and manages own workload to deliver quality results and meet assigned timelines Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and apply them where appropriate Develops and delivers audit findings, presentations / communications to management or broader audience Assess / identify key issues and escalates to appropriate levels and relevant stakeholders where required Contributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility Employee/Team Accountabilities Continuously enhances knowledge / expertise in own area 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 businesses Participates in knowledge transfer within the team and business units Works to achieve individual goals and support other team members in the achievement of team goals and divisional objectives 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 Equal Opportunity Employer TD 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 TD Bank Group