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 at TD. Our 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:
Why Work with Us?
At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization.
The Ideal Candidate
The ideal candidate will thrive in a fast-paced setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.
Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.
Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.
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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 engagements projects/initiatives and ensure completion.
The 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 engagements projects/initiatives and ensure completion.
Depth & Scope:
- 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
Education & Experience:
- Undergraduate degree required
- 5+ years of relevant experience
Preferred Skills & 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
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 (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
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 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
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 ensures timely communication of issues / points of interest
- Identifies and recommen
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