Audit Manager I (US)

Work Location:

New York, New York, United States of America

Hours:

40

Pay Details:

$72, 280 - $117,520 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.

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 provide 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:

Over 5 years as an Internal Auditor (AML, BSA, Testing, CoE) work experience with an undergraduate degree

Relevant professional certifications, accounting designations (CAMS and/or CIA strongly preferred)

Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applications

Proficient to work multi-functionally, provide guidance to other team members and ensure good relations across teams and functions to work on projects that may require integration of cross functional processes

Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment

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 identify key risks and identify 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

Assesses / identifies 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

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.

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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.

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