Sr Audit Group Manager (US) - Financial Crimes

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$123,880 - $185,820 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 Senior Audit Group Manager leads and develops a team of audit professionals and is responsible for overseeing, planning and executing audits and / or projects of varying complexity and may act as a subject matter expert in own area of expertise. Accountable to provide guidance, leadership, coaching and development to ensure operational results and professional / personal development objectives are achieved for the overall group.

Depth & Scope:

• •Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• •Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope
• •People Manager role that generally manages a team of Audit professionals / specialists
• •Strategic advisor to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas
• •Facilitates key strategic audit discussions and provide thought leadership to executives
• •Sets operational team direction and collaborate with others to execute on common goals
• •Focuses on long term planning for functional area
• •Ability to process and handle confidential information with discretion

Education & Experience:

• •Undergraduate degree required
• •10+ years of relevant experience

Preferred Qualifications:

• •Financial Crimes compliance / regulatory experience
• •Experience leading complex audits
• •Experience in Financial Crime / AML / Fraud / Insider Risk / Sanctions
• •Ability to drive audit engagements
• •Strong Project Management skills
• •Resource management
• •Draft planning documents, findings, reports
• •Design and review test scripts, work papers
• •Recognizes team members' contributions.
• •Participates in, and actively supports implementation of department improvement initiatives.
• •Relevant professional certifications (e.g. CAMS, CIA, CRCM, CPA, CFE) preferred

Customer Accountabilities:

• •Develops, communicates and implements a holistic strategy for audit area of expertise in support of and integrated with the overall audit strategy
• •Oversees / leads / manages and plans audit engagement work activities to ensure adequate risk coverage which may require alignment across multiple areas
• •Review of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
• •Completes L2 reviews / sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
• •Acts as lead audit advisor to management and respective teams for area of specialization. Reports on emerging trends, identifying issues and opportunities and recommending action to senior management
• •Acts as a strategic audit advisor by providing counsel and guidance on audit issues. Leads relationships with key enterprise partners and interface with respective leadership team to effectively manage own audit area and clarify scope of accountabilities while influencing and aligning others as needed
• •Ensures an integrated and aggregated view of all related activities across the overall function providing escalations, recommendations, and decision support to leadership
• •Forecasts initiatives and demand, and coordinates prioritization of the portfolio / initiatives with key stakeholders
• •Provides functional / business level communications to ensure messages to stakeholders and/or leaders are consistent, appropriate and aligned to business strategies and executive management direction
• •Leads the team in the development and/or integrated implementation of policies / processes / procedures / changes across multiple audit areas

Shareholder Accountabilities:

• •Ensures team 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 potential opportunities to improve operational efficiencies for their business area
• •Leads relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
• •Supports team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
• •Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders and audit management where required
• •Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
• •Identifies, mitigates and reports on risk issues per enterprise policy / guidelines and ensures appropriate escalation processes are followed
• •Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations
• •Oversees or leads the facilitation and/or implementation of own internal audit action/remediation plans to address performance / risk / governance issues

Employee/Team Accountabilities:

• •Responsible for management of the overall team(s) providing both leadership and guidance.
• •Sets targets and objectives for the team, and deliver results
• •Grows team expertise to align with enterprise demand and the Bank's direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
• •Fosters an environment / culture that encourages productivity, innovation, process improvement, teamwork and a high level of professionalism
• •Co-ordinates necessary resources to ensure completion of Audit assignment by deadlines
• •Provides coaching, development, succession, recruitment, resource management and overall team leadership for team members and provide regular input into team members’ assessment of performance and development plans
• •Prioritizes and manages own workload in order to deliver quality results and meet timelines
• •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 business areas
• •Participates in knowledge transfer within the team and business units
• •Supports and manages teams through change
• •Is a brand ambassador for Internal Audit both internally to the bank and externally

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 q