Senior Audit Group Manager (US) - Financial Crimes

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

Pay

$123,880 - $201,290 USD

TD is committed to providing fair and equitable compensation opportunities. The base pay offered may vary based on the candidate's skills, experience, job-related knowledge, geographic location, and other business and organizational needs.

About the Role

The Senior Audit Group Manager leads and develops a team of audit professionals, overseeing, planning, and executing audits or projects of varying complexity. This role may act as a subject matter expert in their area of expertise and is accountable for providing guidance, leadership, coaching, and development to ensure operational results and professional/personal development objectives are achieved for the overall group.

Depth & Scope

• Provides people management leadership, including hiring, setting goals, developing staff, managing performance and compensation, promoting teamwork, and handling disciplinary actions.
• Oversees and leads a large, significant, and/or highly complex audit team for an area of significant risk, complexity, or scope.
• Serves as a strategic advisor to leadership on portfolio and financial management, leveraging deep industry and enterprise knowledge to anticipate emerging trends and identify operational efficiencies.
• Facilitates key strategic audit discussions and provides thought leadership to executives.
• Sets operational team direction and collaborates with others to execute on common goals, focusing on long-term planning for the functional area.
• Handles confidential information with discretion.

Requirements

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

Skills & Qualifications

• Desired Skills & Traits: Strong communication, ability to coach and motivate, self-starter, punctuality, accountability ("act like an owner"), attention to detail, and relationship-building skills.
• Technical Skills: Advanced Microsoft Office (Excel, PowerPoint), data analytics, and general understanding/experience with AI (e.g., creating agents).
• Certifications (Nice to Have/Encouraged):
  • CIA
  • CFE (Certified Fraud Examiner)
  • CAMS (Certified Anti-Money Laundering Specialist) – highly encouraged
  • PMP (Project Management Professional)
  • Other regulatory certifications (e.g., Global Compliance Certificate).

Responsibilities

• Managing multiple audits (up to two per quarter).
• Overseeing AICs and testers.
• Stakeholder communication and relationship building.
• Reviewing audit work for quality and detail.
• Engaging in non-audit activities such as continuous monitoring, quarterly reporting, data analysis, and memo writing.
• Taking ownership and accountability for audit outcomes, including remediating QC/QA findings.
• Performance management, providing feedback, and escalating critical issues to executives.
• Contributing to team culture, coaching, and potentially participating in future recruiting efforts.

Customer Accountabilities

• Develops, communicates, and implements a holistic strategy for the audit area of expertise, integrated with the overall audit strategy.
• Oversees, leads, manages, and plans audit engagement work activities to ensure adequate risk coverage, which may require alignment across multiple areas.
• Reviews Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid, and Audit Report.
• Completes L2 reviews/sign-off on all audit activities (e.g., walkthroughs, test scripts, test results, grid, evidence uploads).
• Acts as lead audit advisor to management and respective teams for area of specialization, reporting on emerging trends and recommending actions to senior management.
• Leads relationships with key enterprise partners and interfaces with leadership to manage the audit area, clarify accountabilities, and influence alignment.
• Ensures an integrated view of all related activities, providing escalations, recommendations, and decision support to leadership.
• Forecasts initiatives and demand, coordinating prioritization of the portfolio with key stakeholders.
• Provides functional/business-level communications to ensure alignment with business strategies and executive management direction.
• Leads the team in developing or implementing policies, processes, or changes across multiple audit areas.

Shareholder Accountabilities

• Ensures the team adheres to internal policies, enterprise frameworks, and regulatory guidelines, contributing to process reviews and identifying operational efficiencies.
• Leads relationships with business lines, corporate, or control functions to ensure alignment with enterprise and regulatory requirements.
• Supports the team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements, assessing potential impacts to the Bank.
• Assesses and identifies key issues, escalating to appropriate stakeholders and audit management as required.
• Maintains a culture of risk management and control, supported by effective processes and infrastructure aligned with risk appetite.
• Identifies, mitigates, and reports on risk issues per enterprise policy, ensuring appropriate escalation processes are followed.
• Leads or contributes to cross-functional/enterprise initiatives as a subject matter expert, providing guidance for complex situations.
• Oversees or leads the facilitation and implementation of internal audit action/remediation plans to address performance, risk, or governance issues.

Employee/Team Accountabilities

• Responsible for the management of the overall team(s), providing leadership and guidance.
• Sets targets and objectives for the team and delivers results.
• Grows team expertise to align with enterprise demand and the Bank’s direction, assessing skills and capabilities to enhance value delivered.
• Fosters an environment that encourages productivity, innovation, process improvement, teamwork, and professionalism.
• Coordinates resources to ensure completion of audit assignments by deadlines.
• Provides coaching, development, succession planning, recruitment, and resource management, including regular performance assessments and development plans.
• Prioritizes and manages workload to deliver quality results and meet timelines.
• Supports a positive work environment that promotes service, quality, innovation, and teamwork, ensuring timely communication of issues.
• Identifies and recommends opportunities to enhance productivity, effectiveness, and operational efficiency.
• Establishes effective relationships across multiple business areas.
• Participates in knowledge transfer within the team and business units.
• Supports and manages teams through change.
• Acts as a brand ambassador for Internal Audit both internally and externally.

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: Continuous (67-100%)
• Applying common sense to standardized problems: Continuous (67-100%)
• Reading, writing, and comprehending instructions: Continuous (67-100%)
• Adding, subtracting, multiplying, and dividing: Continuous (67-100%)

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/recognition programs.

Colleague Development

• Regular career, development, and performance conversations with managers.
• Access to an online learning platform and mentoring programs to unlock future opportunities.
• Diverse career paths to grow expertise and make an impact.
• Commitment to fostering a respectful workplace where diverse perspectives are valued.