Senior Auditor (US) - Financial Crimes

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

About the role

The Senior Auditor executes audits for an assigned business and may be dedicated to an audit specialization (e.g. credit, retail, operational, platforms and tech, etc.), function or project. They provide audit expertise and execute audit processes as part of a team or as an individual contributor.

This experienced audit professional role requires sound audit or business conceptual knowledge and the ability to independently perform tasks from end to end. The role involves handling confidential information with discretion.

Responsibilities

• Conducts audit work based on established audit plans and executes the audit in accordance with established standards to ensure completion.
• Executes testing of controls, including walkthroughs (documentation), test scripts (development and execution), and issue identification.
• Coordinates communication with stakeholders throughout the audit process.
• Supports the team in reviewing internal controls and sharing findings and suggestions with 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 regulatory guidelines.
• Contributes to the review of internal processes and activities, assisting in identifying control weaknesses/failures and potential operational efficiencies.
• Develops and provides complex reporting, analysis, and assessments at the functional or enterprise level.
• Prioritizes and manages workload to deliver quality results and meet assigned timelines.
• Stays current on emerging trends/developments and grows knowledge of the business, analytical tools, and techniques.
• Assists in preparing and sharing audit findings and presentation materials with management and broader audiences.
• Assesses and identifies key issues, escalating 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 and expertise in own area.
• Supports a positive work environment that promotes service to the business, quality, innovation, and teamwork.
• 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 supports other team members in achieving team goals and divisional objectives.

Requirements

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

Qualifications

• 3+ years of work experience in an audit capacity or compliance testing/monitoring function.
• Banking industry audit experience with a preferred focus on Financial Crime, BSA/AML, Governance, Risk & Oversight Functions.
• Relevant professional certifications (e.g., CIA, CPA, CRMA) or progress towards preferred.
• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment.
• Strong analytical and problem-solving skills.
• Ability to work independently and collaboratively in a team environment.
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools.

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%)

Pay

$63,540 - $104,020 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.

Benefits

Our Total Rewards package 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 and recognition programs.

We provide training and onboarding sessions to ensure success in the new role. Regular development conversations, training programs, and access to an online learning platform are available to support career growth.