Audit Manager II; US - Financial Crimes - BAU Issue Validation

Position: Audit Manager II (US) - Financial Crimes - BAU Issue Validation
Location: Mount Laurel

Work Location:

New York, New York, United States of America

Hours:

40

Pay Details:

$92,220 - $149,310 USD

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 II provides specialized expertise to help guide the planning, risk assessment, and execution of audits. This role plays an essential part in shaping the strategic direction of the audit function, while fostering alignment with enterprise risk frameworks and supporting the broader audit strategy. Lead and/or provide supervisory oversight to complex audits and ensure completion.

Depth & Scope:

* Works autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others

* Provides seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members

* May lead and/or provide supervisory oversight to complex audits and ensure completion

* Knowledge of external competition, industry and/or market trends in relation to own function / business

* Scope of role may have enterprise impact

* Undertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise

* May oversee and/or independently perform concurrent multiple audits and related tasks from end to end

* Ability to process and handle confidential information with discretion

Education & Experience:

* Undergraduate degree required

* 7+ years of relevant experience

Preferred Qualifications:

* 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 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 and Power BI, 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.

Customer Accountabilities:

* Supports the development and implementation of audit programs by contributing insights and assisting with planning activities

* Participates in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines

* Executes the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report

* Completes L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)

* Oversees / leads audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy

* Oversees / leads the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area

* Contributes to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts

* Leads / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas

* Acts as the audit lead or audit advisor to management and respective teams for area of specialization. Reports on emerging trends, identifying issues and opportunities and recommending action to senior management

* Facilitates key discussions and provide thought leadership to executive audience

Shareholder Accountabilities:

* 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 their business area

* Actively manages relationships with business lines / corporate and/or control…