Audit Compliance Manager I

Job Description

Works as an audit subject matter expert and may coach and educate others.
Oversees and/or independently performs audits from end-to-end.
Leads moderately complex audits and has 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.

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).
• Completes 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.

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

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

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.

Our Total Rewards Package

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.