Audit Compliance Manager I

Work Location: Wilmington, Delaware, United States of America

About the role

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, including the integration of cross-functional processes within own area of expertise. Ability to process and handle confidential information with discretion.

Responsibilities

• 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 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.
• Identifies key risks and opportunities where controls are missing or inadequate to mitigate these risks.
• 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.
• 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, applying 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.
• Continuously enhances knowledge/expertise in own area.
• Supports a positive work environment that promotes service to the business, quality, innovation, and teamwork, ensuring 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.

Requirements

• Undergraduate degree required.
• 5+ years of relevant experience.

Pay

77,260.00 - 115,900.00 USD per year. 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.

Schedule

40 hours per week.

Physical Requirements

• Domestic Travel: Occasional (1-33%)
• International Travel: Never (0%)
• Performing sedentary work: Continuous (67-100%)
• Performing multiple tasks: Continuous (67-100%)
• Operating standard office equipment: Continuous (67-100%)
• Responding quickly to sounds: Occasional (1-33%)
• Sitting: Continuous (67-100%)
• Standing: Occasional (1-33%)
• Walking: Occasional (1-33%)
• Moving safely in confined spaces: Occasional (1-33%)
• Lifting/Carrying (under 25 lbs.): Occasional (1-33%)
• Lifting/Carrying (over 25 lbs.): Never (0%)
• Squatting: Occasional (1-33%)
• Bending: Occasional (1-33%)
• Kneeling: Never (0%)
• Crawling: Never (0%)
• Climbing: Never (0%)
• Reaching overhead: Never (0%)
• Reaching forward: Occasional (1-33%)
• Pushing: Never (0%)
• Pulling: Never (0%)
• Twisting: Never (0%)
• Concentrating for long periods of time: Continuous (67-100%)
• Applying common sense to deal with problems involving standardized situations: Continuous (67-100%)
• Reading, writing, and comprehending instructions: Continuous (67-100%)
• Adding, subtracting, multiplying, and dividing: Continuous (67-100%)

Benefits

TD offers a comprehensive Total Rewards package that includes:

• Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards).
• Health and well-being benefits.
• Savings and retirement programs.
• Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO).
• Banking benefits and discounts.
• Career development and reward and recognition programs.

Additional support includes regular development conversations, training programs, and access to an online learning platform and mentoring programs to help unlock future opportunities.