Audit Manager I (US) - Financial Crimes

Work Location New York, New York, United States of America Hours 40 Pay Details $75,020 - $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 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 others Oversees and/or independently performs audits from end‑to‑end May lead moderately complex audits and have 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 Preferred Qualifications Audit experience from financial institutions or top accounting firms Analytical and problem‑solving skills Act like an owner; Execute with speed and impact; only take risks we can understand and manage Preferred certifications: CAMS, CIA, CPA, CISA Critical thinker and quick learner to handle first‑time audits or horizontal/end‑to‑end audit of high‑risk areas Customer Accountabilities Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion Execute 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) Contribute to the audit planning process for specific audits, ensuring appropriate programs and audit risk assessments are completed accordingly Manage the ongoing audit communications process with stakeholders during and after the audit Present 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 Execute follow‑up of findings raised from regulatory and internal divisional audits in accordance with firm policy Provide subject‑matter expertise and/or input to audit projects/initiatives as a representative for area of specialization, identify key risks and opportunities where controls are missing or inadequate to mitigate these risks Shareholder Accountabilities Adhere to internal policies, procedures, enterprise frameworks and methodologies and applicable regulatory guidelines; contribute to the review of internal processes and activities and assist in identifying control weaknesses or failures, potential opportunities to improve operational efficiencies for own business area Develop and provide complex reporting, analysis and assessments at the functional or enterprise level Prioritize and manage own workload to deliver quality results and meet assigned timelines Keep current on emerging trends and developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate Develop and deliver audit findings, presentations, and communications to management or broader audience Assess and identify key issues and escalates to appropriate levels and relevant stakeholders where required Contribute to the analysis, due diligence and implementation of initiatives within defined area of responsibility Employee/Team Accountabilities Continuously enhance knowledge and expertise in own area Support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues or points of interest Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency Establish effective relationships across multiple businesses Participate in knowledge transfer within the team and business units Work to achieve individual goals and support other team members in achieving team goals and divisional objectives Physical Requirements 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. Equal Employment Opportunity Statement 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