Senior Auditor; US Compliance

Audit Professional Role

Work Location:

Charlotte, North Carolina, United States of America

Hours:

40

Pay Details: 63,540. 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:

Depth & Scope:

Experienced audit professional role providing guidance / assistance to function supported

Requires sound audit or business conceptual knowledge

Independently performs tasks from end to end as assigned

Ability to process and handle confidential information with discretion

Education & Experience:

Undergraduate degree required

3+ years of relevant experience

Customer Accountabilities:

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 (documentation), test scripts (development and execution), and issue identification

Helps coordinate communication with the stakeholders throughout the audit process

Supports the team in reviewing internal controls and sharing findings and suggestions with both the stakeholders and audit leadership

Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy

Provides input to audit projects/initiatives as a representative for area of specialization

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 assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area

May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level

Prioritizes and manages own workload to deliver quality results and meet assigned timelines

Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriate

Assists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit process

Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required

Contributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility

Employee/Team Accountabilities:

Continuously enhances knowledge / expertise in own area

Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues / points of interest

Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency

Establishes effective relationships across multiple businesses

Participates in knowledge transfer within the team and business units

Works to achieve individual goals and support other team members in the achievement of team goals and divisional objectives

Physical Requirements:

Never: 0%;
Occasional: 1-33%;
Frequent: 34-66%;
Continuous: 67-100%

Domestic Travel – Occasional

International Travel – Never

Performing sedentary work – Continuous

Performing multiple tasks – Continuous

Operating standard office equipment - Continuous

Responding quickly to sounds – Occasional

Sitting – Continuous

Standing – Occasional

Walking – Occasional

Moving safely in confined spaces – Occasional

Lifting/Carrying (under 25 lbs.) – Occasional

Lifting/Carrying…