[Remote] Audit Manager I (US)

Note: The job is a remote job and is open to candidates in USA. TD Bank, N.A. is one of the world's leading global financial institutions, committed to reshaping compliance risk management. The Audit Manager I will provide specialized subject matter expertise in audits, manage day-to-day operations, and help design a forward-thinking compliance program.

Responsibilities

• Accountable for a significant audit area that typically has enterprise wide or broad functional / business impact or accountability
• Requires enterprise or functional expert, 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 the 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
• 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 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 provides 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 apply them where appropriate
• Develops and delivers audit findings, presentations / communications to management or broader audience
• 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
• Continuously enhances knowledge / expertise in own area
• Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures 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

Skills

• Undergraduate degree required
• 5+ years of relevant experience
• Over 5 years as an Internal Auditor (AML, BSA, Testing, CoE) work experience with an undergraduate degree
• Relevant professional certifications, accounting designations (CAMS and/or CIA strongly preferred)
• Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applications
• Proficient to work multi-functionally, provide guidance to other team members and ensure good relations across teams and functions to work on projects that may require integration of cross functional processes
• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment

Benefits

• Base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
• Health and well-being benefits
• Savings and retirement programs
• Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
• Banking benefits and discounts
• Career development
• Reward and recognition
• Regular career, development, and performance conversations with your manager
• Access to an online learning platform
• A variety of mentoring programs to help you unlock future opportunities
• Training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role
• Accommodation for applicants with disabilities through TD Bank US Workplace Accommodations Program

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