Audit Manager I - Compliance

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, leading moderately complex audits with responsibility for their completion. Undertakes a variety of projects and initiatives, including the integration of cross-functional processes within own area of expertise. Handles confidential information with discretion.

Responsibilities

• Conducts audit work based on established audit plans and executes the audit in accordance with established standards to ensure completion.
• Executes testing of controls, including walkthroughs (leading and documentation), test scripts (development and execution), and issue management (identification and capturing in the grid).
• May develop the Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid, and Audit Report.
• Completes L1 reviews/sign off on all audit activities (e.g., walkthroughs, test scripts, test results, grid, evidence uploads).
• Contributes to the audit planning process, ensuring appropriate programs and audit risk assessments are completed.
• Manages ongoing audit communications with stakeholders during and after the audit.
• Presents objective and independent audit opinions on the adequacy of internal controls, including findings and recommendations to stakeholders and audit management.
• Executes follow-up of findings from regulatory and internal divisional audits in accordance with firm policy.
• Provides subject matter expertise and input to audit projects/initiatives as a representative for area of specialization, identifying key risks and opportunities where controls are missing or inadequate.
• Adheres to internal policies, procedures, and regulatory guidelines, contributing to the review of internal processes and identifying control weaknesses or opportunities for operational efficiencies.
• Develops and provides complex reporting, analysis, and assessments at the functional or enterprise level.
• Prioritizes and manages workload to deliver quality results and meet assigned timelines.
• Stays current on emerging trends and developments, growing knowledge of the business, analytical tools, and techniques.
• Develops and delivers audit findings, presentations, and communications to management or broader audiences.
• Assesses and identifies key issues, escalating to appropriate levels and stakeholders as required.
• Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.
• Continuously enhances knowledge and expertise in own area.
• Supports a positive work environment that promotes service to the business, quality, innovation, and teamwork.
• 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 achieving team goals and divisional objectives.

Requirements

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

Work Environment

This role is based in Wilmington, Delaware, United States of America.

• 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%)

Pay

Base pay range: 77,620.00 - 115,900.00 USD. TD is committed to providing fair and equitable compensation opportunities. The base pay offered may vary based on skills, experience, job-related knowledge, geographic location, and other business and organizational needs.

Benefits

TD offers a 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.