Audit Manager II (US) - Financial Crimes Audit

Work Location: New York, New York, United States of America

About the Role

The Audit Manager II provides specialized expertise to help guide the planning, risk assessment, and execution of audits. This role plays an essential part in shaping the strategic direction of the audit function, while fostering alignment with enterprise risk frameworks and supporting the broader audit strategy.

Works autonomously and is accountable for acting as a lead within a specialized audit practice area, providing work direction to others. Provides seasoned specialized knowledge, advice, and/or guidance to various stakeholders and team members. May lead and/or provide supervisory oversight to complex audits and ensure completion.

Knowledge of external competition, industry, and/or market trends in relation to the audit function. Scope of role may have enterprise impact. Undertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross-functional processes within own area of expertise.

May oversee and/or independently perform concurrent multiple audits and related tasks from end to end. Ability to process and handle confidential information with discretion.

Responsibilities

• Supports the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Participates in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.
• Executes 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).
• Oversees/leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
• Oversees/leads the ongoing audit communications and/or the reporting process with stakeholders, senior management, and external auditors for specific and/or overall Audit area.
• Contributes to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
• Leads/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas.
• Acts as the audit lead or audit advisor to management and respective teams for area of specialization.
• Reports on emerging trends, identifying issues and opportunities, and recommending action to senior management.
• Facilitates key discussions and provides thought leadership to executive audiences.
• 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 their business area.
• Actively manages relationships with business lines/corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements.
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank.
• Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where required.
• Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
• Participates in cross-functional/enterprise initiatives as a subject matter expert, helping to identify risk/provides guidance for complex situations.
• Provides thought leadership and/or industry knowledge for own area of expertise.
• Encourages 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.
• Works effectively as a team, supporting other members in achieving business objectives and providing stakeholder services.
• Participates in knowledge transfer within the team and business units.
• Contributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits.

Requirements

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

Preferred Qualifications

• Audit experience from large financial institutions or accounting firms.
• Prior experience leading audit engagements from end-to-end.
• AML/Sanctions/Broker Dealer subject matter expertise.
• Strong analytical and problem-solving skills; critical thinker and quick learner to handle first-time audits or horizontal/end-to-end audit of high-risk areas.
• Leadership behaviors: Act like an owner; execute with speed and impact; take risks we can understand and manage while providing work direction to others on the team.
• Preferred certifications include CAMS, CIA, CPA, and CISA.

Pay

$92,220 - $149,310 USD

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

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. Total Rewards at TD 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.

We provide training and onboarding sessions to ensure success in your new role. 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 unlock future opportunities.