Audit Manager II; US - Financial Crimes - Issues Validation

Audit Manager II – U.S. Financial Crimes Regulatory Issue Validation Audit

Location:

New York, NY, United States

Hours:

40 per week

Pay Range: $92,220 – $149,310 USD (subject to change based on skills, experience, location, and business needs)

Senior‑level leader within the U.S. Financial Crimes Regulatory Issue Validation Audit function. Responsible for validating regulatory and internally identified issues, leading complex audit engagements, and ensuring timely and high‑quality completion of audits.

• Lead or serve as Auditor‑In‑Charge on complex regulatory audit engagements
• Provide day‑to‑day leadership, coaching and guidance to engagement team members
• Plan, oversee and ensure the completion of audits within deadlines, budgets, and project plans
• Test design and operational effectiveness for regulatory issue validation and internal issue validation related to regulatory issues
• Track and monitor all items within the team’s scope to meet regulatory deadlines and internal timelines
• Create and oversee the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid, and Audit Report
• Perform L1 reviews/sign off on all audit activities (walkthroughs, test scripts, test results, grid, evidence uploads)
• Execute follow‑up of findings from internal audits and regulatory reviews, and communicate results with stakeholders, senior management and external auditors
• Lead and manage the integrated implementation of policies, processes and procedures across functional areas
• Act as audit lead or advisor to management, provide thought leadership, and report on emerging trends, risks and recommendations to senior managers

• Undergraduate degree required
• Minimum 7 years of relevant experience in audit or related functions
• Experience as a former OCC, CFPB, FDIC, FRB, or NCUA compliance examiner
• Banking industry audit experience with a focus on Financial Crimes Compliance and issue validation
• Professional certifications preferred (e.g., CIA, CRCM, CAMS)
• Advanced knowledge of audit standards, procedures, laws, rules and regulations
• Strong leadership, mentoring, coaching and performance management skills
• Experience leading complex audits, planning, implementation, and evaluation of audit programs
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) and risk management/audit tools
• Ability to work independently and collaboratively in a team environment, analyze, organize and prioritize work while meeting multiple deadlines

Domestic travel – occasional; international travel – none. Performing sedentary work – continuous; multiple tasks – continuous; standard office equipment – continuous; sitting – continuous; standing – occasional; walking – occasional; lifting (under 25 lbs.) – occasional; lifting (over 25 lbs.) – none.

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at