Audit Manager ; US; Financial Crimes - Fraud & Insider Risk

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40

Pay Details:

-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  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.

Line of Business:

Audit

Job Description:

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.

Depth & Scope:

Works as an audit subject matter expert and may coach and educate others

Oversees and/or independently performs audits from end-to-endMay 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

Education & Experience:

Undergraduate degree required5+ years of relevant experience

Preferred Qualifications:

5+ 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, CAMS, CFE) 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

Customer Accountabilities:

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…