Sr Audit Manager

Sr Audit Manager (US)

New York, New York

Pay information not provided

New York, New York, United States of America

40

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.

Audit

The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. Leads and/or provides supervisory oversight to audits and related engagement projects/initiatives and ensures completion.

• Accountable for a significant audit area that typically has enterprise wide or broad functional/business impact or accountability.
• Requires enterprise or functional expertise, requiring broad and deep specialized knowledge at the enterprise level for certain teams.
• May lead and/or provide senior supervisory oversight to very complex audits and ensure completion.
• Undertakes and completes a variety of complex audit initiatives requiring seasoned specialist knowledge and/or integration of cross-functional processes.
• Advanced knowledge of external competition, industry and/or market trends in relation to own function/business.
• Typically deals with senior/executive management.
• May manage and prioritize concurrent multiple projects at a given time.
• Supports operational team direction and collaborates with others to execute on common goals.
• Focuses on long term planning for functional area.
• Ability to process and handle confidential information with discretion.

10+ years of relevant experience

• Internal Auditor with an AML/BSA/Testing/CoE on a Financial Crimes Team background in the banking/financial industry.
• Strong stakeholder business relationship work experience.
• Formal people manager work experience.
• Strong verbal/oral/written communication skills.
• Certified: CAMS/Fraud Examiner is a plus.

• Contributes to the strategic direction of the audit function and plays a key role in the development and implementation of programs.
• Plans, leads, manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters.
• Oversees and leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
• Oversees and 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.
• Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation.
• Leads or 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 provides thought leadership to executive audience.

• 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 functions and ensures alignment with enterprise and/or regulatory requirements.
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the bank.
• Assesses, identifies key issues, and escalates to appropriate levels and relevant stakeholders where required.
• Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
• Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk and provide guidance for complex situations.