Audit Manager I (US) - Financial Crimes - AML / Broker Dealer

Audit Manager I

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provide subject matter expertise on audits ranging in complexity.

May manage/lead a number of moderately complex audits, related engagement and/or projects/initiatives.

Depth & Scope

Works as an audit subject matter expert and may coach and educate others.

Oversees and/or independently performs audits from end-to-end.

Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise.

Ability to process and handle confidential information with discretion.

Education & Experience

Undergraduate degree required.

5+ years of relevant experience.

Preferred Qualifications:

• AML/Sanctions audit experience
• Experience working in regulatory environment
• CAMS, CIA, CFE highly preferred
• Broker Dealer background strongly preferred

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).

May execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.

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.

Has responsibility for completion of the audit.

Shareholder Accountabilities

Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assist in identifying control weaknesses / failures, potential opportunities to improve operational efficiencies for own business area.

Develops and provides 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 and apply 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.

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.

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.

We are deeply committed to being a leader in client experience, fostering a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals.

Our Total Rewards Package

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.

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

Additional Information

We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development:

• You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
• If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals.

Here at TD, we hire and develop the best.

Training & Onboarding:

• We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process:

• We’ll reach out to candidates of interest to schedule an interview.
• We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation:

• TD Bank is an equal opportunity employer.
• All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
• If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.
• Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.