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 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.
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
- 10+ years of relevant experience
Preferred Skills & Work Experience:
- Must be a strong Internal Auditor with an AML/BSA/Testing/CoE on a Financial Crimes Team background in the banking/financial industry.
- Relevant professional certifications, accounting designations (CAMS and/or CIA strongly preferred)
- Strong Formal People Manager/Stakeholder Business Relationship experience.
- 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
- Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applications
Customer Accountabilities:
- Contributes to the strategic direction of the audit function and play a key role in the development and implementation of programs
- Plans, leads / manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters
- 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 the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area
- Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation
- 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
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 assists in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area
- Actively manages relationships with business lines / corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
- Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
- Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required
- Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
- Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
Employee/Team Accountabilities:
- Provides thought leadership and/or industry knowledge for own area of expertise
- Encourages 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 recomm
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