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:
The Audit Manager II provides specialized expertise to help guide the planning, risk assessment, and execution of audits. This role plays an essential part in shaping the strategic direction of the audit function, while fostering alignment with enterprise risk frameworks and supporting the broader audit strategy. Lead and/or provide supervisory oversight to complex audits and ensure completion.
Depth & Scope:
Works autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others
Provides 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
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Undertakes and completes 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
Education & Experience:
Undergraduate degree required
7+ years of relevant experience
Preferred Qualifications:
AML and/or AML Audit experience preferred
Issue Validation experience preferred
Regulatory experience preferred
Experience working on team to execute audits and manage stakeholders
Experience documenting and reviewing workpapers
Experience working to meet tight deadlines for on time delivery
Experience applying auditing methods and logic during walk-through meetings
Experience with audit methodology
Experience in Data analytics
ACAMS preferred, but not required
Customer Accountabilities:
Supports the development and implementation of audit programs by contributing insights and assisting with planning activities
Participates in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines
Executes the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
Completes L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
Oversees / leads audits and/or execute 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
Contributes to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts
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 assess 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 / provides 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 ensure timely communication of issues / points of interest
Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
Works effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services
Participates in knowledge transfer within the team and business units
Contributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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IN-AMCBCorporate
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 bank
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