Senior Auditor (US) Compliance

About the Role

Experienced audit professional role providing guidance and assistance to the function supported. Requires sound audit or business conceptual knowledge. Independently performs tasks from end to end as assigned. 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 (documentation), test scripts (development and execution), and issue identification.
• Helps coordinate communication with the stakeholders throughout the audit process.
• Supports the team in reviewing internal controls and sharing findings and suggestions with both the stakeholders and audit leadership.
• Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
• Provides input to audit projects/initiatives as a representative for area of specialization.
• 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 and applies them where appropriate.
• Assists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit process.
• 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 and ensures 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 support other team members in the achievement of team goals and divisional objectives.

Requirements

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

Pay

64,820.00 - 97,220.00 USD per year. 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. 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, are available to help unlock future opportunities.

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%)

About the Company

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, 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. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, believing that all colleagues, no matter where they work, are client-facing. Together, we are reimagining what banking can be for our clients, colleagues, and communities.