Audit Manager II (US) - Financial Crimes - Internal Audit Issue Validation

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

Pay

$92,220 - $149,310 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. 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.

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.

Responsibilities

• Lead and/or provide supervisory oversight to complex audits and ensure completion.
• Act autonomously and be accountable for acting as a lead within a specialized audit practice area and provide work direction to others.
• Provide seasoned specialized knowledge, advice, and/or guidance to various stakeholders and team members.
• Apply knowledge of external competition, industry, and/or market trends in relation to the audit function.
• Undertake and complete a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross-functional processes.
• May oversee and/or independently perform concurrent multiple audits and related tasks from end to end.
• Handle confidential information with discretion.
• Support the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Participate in audit engagements across multiple areas, ensuring audits are conducted in line with established standards and timelines.
• Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid, and Audit Report.
• Complete L1 reviews/sign off on all audit activities (e.g., walkthroughs, test scripts, test results, grid, evidence uploads).
• Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
• Oversee/lead ongoing audit communications and/or the reporting process with stakeholders, senior management, and external auditors for specific and/or overall Audit areas.
• Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
• Lead/manage the integrated implementation of policies/processes/procedures/changes across multiple functional areas.
• Act as the audit lead or audit advisor to management and respective teams for area of specialization.
• Report on emerging trends, identifying issues and opportunities, and recommending action to senior management.
• Facilitate key discussions and provide thought leadership to executive audiences.
• Adhere to internal policies/procedures, enterprise frameworks, and methodologies, and applicable regulatory guidelines.
• Contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies.
• Actively manage relationships with business lines/corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements.
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank.
• Assess/identify key issues and escalate to appropriate levels and relevant stakeholders where required.
• Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
• Participate in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations.
• Provide thought leadership and/or industry knowledge for own area of expertise.
• Encourage a positive work environment that promotes service to the business, quality, innovation, and teamwork, and ensure timely communication of issues/points of interest.
• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency.
• Work effectively as a team, supporting other members in achieving business objectives and providing stakeholder services.
• Participate in knowledge transfer within the team and business units.
• Contribute 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

• Judgment and Analytical Skills: Exhibits strong judgment regarding the sufficiency of evidence, the appropriate depth of testing, and the severity of issues identified during audits.
• Specialized Auditing Skills: Possesses robust auditing skills, with particular expertise in the area of financial crimes.
• Work Ethic and Independence: Able to work both independently and with a sense of urgency.
• Issue Validation Experience: Experienced in issue validation, confirming that corrective actions have been implemented and are effective in addressing identified deficiencies.
• Technical Proficiency: Proficient in using MS Office, Power BI, AI, and supporting data analysis and reporting requirements within the audit function.
• Preferred Certifications: Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), and Certified Fraud Examiner (CFE).

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 programs.

We’re committed to providing the support our colleagues need to thrive both at work and at home through regular development conversations, training programs, and a competitive benefits plan.

Colleague Development

• Regular career, development, and performance conversations with your manager.
• Access to an online learning platform and a variety of mentoring programs to help unlock future opportunities.
• Diverse career paths where you can grow your expertise and make a meaningful impact.
• Training and onboarding sessions to ensure success in your new role.