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

Location: New York, New York, United States of America
Hours: 40
Pay: $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.

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.

• Works autonomously and is accountable for acting as a lead within a specialized audit practice area and providing 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.

• Undergraduate degree required.
• 7+ years of relevant experience.
• Preferred qualifications:
  
  AML and/or AML Audit experience, Issue Validation experience, Regulatory experience, experience working on a team to execute audits and manage stakeholders, experience documenting and reviewing work papers, experience meeting tight deadlines for on-time delivery, experience applying auditing methods and logic during walk-through meetings, experience with audit methodology, experience in Data analytics. ACAMS preferred, but not required.

• Supports the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Participates in audit engagements across multiple areas, ensuring 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 (e.g., walkthroughs, test scripts, test results, grid, evidence uploads).
• Oversees/leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
• Oversees/leads the ongoing audit communications and/or reporting process with 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.

• Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributing to the review of internal processes and activities and assisting…