Audit Manager I (US) - Financial Crimes

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. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provide subject matter expertise on audits ranging in complexity. May manage/lead a number of moderately complex audits, related engagement and/or projects/initiatives. and has responsibility for completion of the audit.

• Works as an audit subject matter expert and may coach and educate others
• Oversees and/or independently performs audits from end-to-end
• May lead moderately complex audits and have responsibility for completion of the audit
• Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise
• Ability to process and handle confidential information with discretion

• Undergraduate degree required
• 5+ years of relevant experience

• 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 and/or Financial Crimes 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 - Such as Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), and Certified Fraud Examiner (CFE) are preferred.
• In-office work is strongly preferred; however, remote candidates outside the TD footprint may be considered at the hiring manager’s discretion if their skills and experience closely align with the role.

• 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 but not limited to walkthroughs (leading and documentation), test scripts (development and execution), and issue management (identification and capturing in the grid)
• May execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
• May complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
• Contributes to the audit planning process for specific audits, ensuring appropriate programs and audit risk assessments are completed accordingly
• Manages the ongoing audit communications process with the stakeholders during and subsequent to the audit
• Presents objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to stakeholders and audit management
• Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
• Provides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks

• Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assist in identifying control weaknesses / failures, potential opportunities to improve operational efficiencies for own business area
• May develop and provides 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 apply them where appropriate
• Develops and delivers audit findings, presentations / communications to management or broader audience
• 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

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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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, that is why we believe 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.