Audit Manager I

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Audit

Pay Detail:

$110,000 - $130,000 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.

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 expertise on audits ranging in complexity. This role may lead moderately complex audits and have responsibility for completion of the audit.

Depth & Scope:

Utilize AI and emerging technologies to enhance audit planning, testing, reporting and operational efficiency.

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

Generally leads a team focused on assigned audit and generally assumes the lead position on the audit, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report

Responsible for time and staffing budgets for upcoming audits

Responsible for planning of audits

Responsible for contact with management regarding audit scope, status, and findings

May perform testing procedures for more critical areas of audits

Provides on-the-job training for staff

Supervises findings follow up tasks with management and audit staff

May be Auditor in Charge on an Audit

May participate and/or lead assigned special projects

Provides feedback on staff performance on an audit project basis

Education & Experience:

Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required

5+ years of relevant experience

Proficient knowledge of audit standards, procedures, laws, rules and regulations

Knowledge of AI, machine learning concepts and emerging technology risks

Demonstrated ability to perform data-driven audits and leverage technology to enhance audit effectiveness.

Knowledge of current and emerging trends

Skilled in mentoring/coaching others

Skilled in using computer applications including MS Office

Ability to communicate effectively in both oral and written form

Ability to work collaboratively and build relationships

Ability to work successfully as a member of a team and independently

Ability to exercise sound judgement in making decisions

Ability to analyze, organize and prioritize work while meeting multiple deadlines

Strong knowledge of laws and regulations governing the banking industry

Certification highly preferred or willingness to pursue certification

Travel 25% or more

Customer Accountabilities:

Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion

Develops/contributes to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly

Manages the ongoing audit communications process with the client 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 client 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

Leads/supports the audit engagement and risk assessment process to identify key risks and identifies 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 assists 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

Keeps current on emerging trends/developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriate

Develops and delivers audit findings, presentations/communications to management or broader audience

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 supports 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

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.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly