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.
Department Overview:
Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business. At the heart of audit is our specialization in all the businesses across the bank.
Safeguarding the reputation of TD's good governance depends on us.
We’re counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations. We crunch the data, consult with our partners and stakeholders, and present our findings to mitigate the risks of today and around the corner and help keep our daily operations running smoothly for our customers.
CUSTOMER
Support the development and implementation of audit programs by contributing insights and assisting with planning activities.
Participate in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.
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Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.
Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area
Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas
Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management.
Facilitate key discussions and provide thought leadership to executive audience
SHAREHOLDER
Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area
Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required
Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
EMPLOYEE / TEAM
Provides thought leadership and/or industry knowledge for own area of expertise
Encourage a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency
Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services
Participate in knowledge transfer within the team and business units.
Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits
BREADTH & DEPTH
Work autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others
Provide 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
Undertake and complete 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.
Generally, reports to a Senior Audit Group Manager or executive role
EXPERIENCE & EDUCATION
Undergraduate degree required
CAMS, CIA, CFE certifications preferred
7+ years of relevant experience including experience leading audits (AIC) and experience/knowledge in AML, Sanctions, ABAC, Fraud and Insider Risk
Who We Are:
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more
Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
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