Audit Manager I Financial Crimes Issue Validation

Work Location:

New York, New York

Hours:

40

Pay Details:

$75,010 - $122,720 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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 Supervisor is responsible for oversight of assigned audit execution, preparation of audit reports, and review of work performed by employees supervised.

Depth & Scope:

• Generally leads a team focused on assigned audit and generally assumes the lead position on the audit, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report

• Responsible for time and staffing budgets for upcoming audits

• Responsible for planning of audits

• Responsible for contact with management regarding audit scope, status, and findings

• Works at direction of Audit Manager

• May perform testing procedures for more critical areas of audits

• Provides on-the-job training for staff

• Supervises findings follow up tasks with management and audit staff

• Is a subject matter expert in at least one area of discipline

• Works independently but receives assistance/coaching from the audit manager

• May be Auditor in Charge on an Audit

• May participate and/or lead assigned special projects

• Provides feedback on staff performance on an audit project basis

• Assists in providing feedback on completion of staff evaluations

• Updates, revises, and improves existing audit procedures and programs

• Adds value through consultative interactions with business line management

Education & Experience:

• 4 year degree or equivalent experience

• 5+ years of related Audit experience required

• Excellent oral and written communication skills

• Strong knowledge of audit principles and practices

• Coaching and counseling skills

• Ability to delegate work to others

• Strong decision-making and follow through ability

• PC skills (MS Office Suite)

• Works well independently and with others

• Strong Analytical skills

• Ability to respond to shifting priorities quickly

• Team working experience

• Ability to build and maintain relationships with peers and management

• Strong knowledge of laws and regulations governing the banking industry

• Certification highly preferred or willingness to pursue certification

• Travel 25% or more

Customer Accountabilities:

• Understands and supports the Banks Customer Service Strategy

• Considers the impact of advice and decisions on the well-being of the Bank, as well as its customers, its employees and stakeholders

• Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity

• Leads, coaches and models quality service delivery at every interaction

• Supports the ongoing improvement of the partner/Customer experience

Employee/Team Accountabilities

• Sets appropriate context for the business unit/function to enable optimal performance and alignment to strategy

• Supports the creation of goals and objectives for the business unit/function; Communicates those goals and objectives to the team

• Builds capability support / executes plans to acquire, develops and retains the diverse teams with the skills and experience necessary to realize on current and future business strategies

• Role models behaviors consistent with TD's leadership profile, customer and employee experience agendas and risk and control culture

• Creates an extraordinary place to work advance and sustain a unique, inclusive culture that reflects TD's diversity agenda, and creates an extraordinary employee experience

• Leads, coaches and develops a highly effective team by ensuring ongoing training and performance and development management

Preferred experience:

CAMS, CFE certification

Financial Crimes/AML Audit experience

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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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. 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.

Colleague Development

If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process

We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.