Audit Manager I

Work Location :

London, United Kingdom

Hours:

37.5

Line of Business:

Audit

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Department Overview

The TD Securities Europe and Asia regional audit team, based in London and Dublin, is responsible for performing

operational audits within TD Securities in Europe/Asia Pacific, whilst also supporting the broader TDS Audit team

globally as required.

Risk-based audit coverage includes front office business activities and relevant support functions, including middle

office, back-office operations, Compliance, AML, Finance and HR.

Job Description Summary

Execute audits for an assigned business, function, or project as part of a team or as an individual contributor

and/or provide expertise on audits ranging in complexity. Manages/leads a number of moderately complex audits

and has responsibility for completion of the audit.

KEY ACCOUNTABILITIES

CUSTOMER

Conduct audit work based on established audit plans and execute the audit in accordance with

established standards ensuring completion

Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and

risk assessments are completed accordingly.

• •Manage the ongoing audit communications process with the client during and subsequent to 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 client 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.

Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks.

SHAREHOLDER

• •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/failures, potential opportunities to improve operational efficiencies for own business area.
• •May 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 / developments and grow knowledge of the business, analytical tools

and techniques and apply them where appropriate.

• •Develop and deliver audit findings, presentations / communications to management or broader audience.
• •Contribute to the analysis, due diligence, and implementation of initiatives within defined area of

responsibility.

EMPLOYEE / TEAM

• •Continuously enhance knowledge / expertise in own area Support a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensure timely communication of issues/ points of interest.
• •Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency.
• •Establish effective relationships across multiple businesses.

Internal

• •Participate in knowledge transfer within the team and business units.
• •Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.

BREADTH & DEPTH

• •Work as an audit subject matter expert and may coach and educate others.
• •Oversee and/or independently perform audits from end to end.
• •May lead moderately complex audits and have responsibility for completion of the audit.
• •Undertake and complete 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.
• •Generally, reports to an Audit Group Manager or Senior Audit Group Manager role

Execute audits for an assigned business, function, or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity. Manages/leads a number of moderately complex audits and has responsibility for completion of the audit.

EXPERIENCE & EDUCATION

• •Undergraduate degree or relevant professional certifications, accounting designations, or equivalent
• •Internal audit experience essential, although consideration will also be given to candidates with other relevant/exceptional experience.
• •Relevant knowledge/experience of Capital Markets.
• •Financial accounting designation (CA, CPA) or other relevant qualification, i.e., MBA, CFA;
• •Degree educated.
• •Relevant regulatory knowledge.
• •Analytical skills in assessing risk, issues and critical thinking/challenging the status quo.
• •Effective time management skills and ability to meet tight deadlines.
• •Strong communication skills (oral and written).
• •Strong interpersonal, organizational and relationship management skills.
• •Ability to work independently and in teams, and to manage competing priorities.
• •Participate in/actively support departmental initiatives.
• •Demonstrate TD leadership core values.

Who We Are

TD Securities 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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

• 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. 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 & Onboarding
• We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

• Interview Process
• We’ll reach out to candidates of interest to schedule a