Audit Manager I US Consumer Compliance

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 supports 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. TD is committed to providing fair and equitable compensation opportunities to all colleagues. 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.

Benefits

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. It includes:

• Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan).
• 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.

We provide training and onboarding sessions to ensure success in your new role. Regular development conversations, training programs, and a competitive benefits plan support colleagues both at work and at home.

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%)