Audit Manager ; US - Financial Crimes - Insider Risk​/Misconduct

Work Location: New York, New York, États-Unis d'Amérique

Hours: 40

Pay Details: $75,020 - $125,180 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 I – Issue Validation (Insider Risk) is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines.

The Audit Manager I will participate in the planning, execution, and documentation of audits/projects to ensure they are aligned with management expectations and executed timely. This role will provide support, manage relationships with senior management, and contribute to the continuous improvement of risk management practices.

• 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 in Insider Risk, Misconduct Risk, and/or Financial Crimes
• Banking industry audit experience specifically performing validation and remediation work
• Professional certifications, relevant designations preferred (e.g., ACAMS, CIA, CFE and etc.)
• 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

• 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…