Audit Manager ; US; Financial Crimes

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40 Pay Details: $77,260 - $128,940 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues.

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Audit

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

Experience auditing in the BSA / AML / OFAC domain

Ability to multi task audit deliverables and manage priorities for delivery

Experience in conducting walkthroughs, testing audit results and high quality documentation

Understanding of the regulatory environment related to BSA/AML as well as exposure working in an environment with high regulatory scrutiny

Relevant professional certifications (e.g. CAMS, CIA or similar) preferred

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…