Audit Manager I (US) - Issue Validation - Insider Risk / Internal Fraud

Work Location: New York, New York, United States of America

Hours: 40

Pay Details: $75,020 - $125,180 USD

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: Job Description:

The Audit Manager I – Issue Validation (Insider Risk/Internal Fraud) is responsible for executing Regulatory Issue Validations specifically related to Internal Risk/Internal Fraud. This includes ensuring that all activities are conducted in accordance with relevant policies and regulatory requirements, with a strong focus on identifying, evaluating, and mitigating potential internal fraud risks.

The Audit Manager I will play an active role in planning, executing, and documenting validations and audits that address insider risk/internal fraud concerns. This position ensures that audits are aligned with management expectations and regulatory standards and are completed efficiently. The role also involves providing support, building, and maintaining relationships with senior management, and contributing to the ongoing enhancement of risk management practices, with an emphasis on internal fraud prevention and detection.

Depth & Scope:

• Works as an audit subject matter expert and may coach and educate others

• Oversees and/or independently performs audits from end-to-end

• May lead moderately complex audits and have responsibility for completion of the audit

• Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise

• Ability to process and handle confidential information with discretion

Education & Experience:

• Undergraduate degree required

• 5+ years of relevant experience

Preferred Qualifications:

• Experience in Insider Risk, Internal Fraud, and Misconduct

• Banking industry audit experience specifically performing validation and remediation work

• Professional certifications, relevant designations preferred (e.g., ACAMS, CIA, CFE and etc.)

• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment

• Strong analytical and problem-solving skills

• Ability to work independently and collaboratively in a team environment

• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools

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 recommends opportunities to enhance productivity, effectiveness and operational efficiency

• Establishes effective relationships across multiple businesses

• Participates in knowledge transfer within the team and business units

• Works to achieve individual goals and support other team members in the achievement of team goals and divisional objectives

Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional

• International Travel – Never

• Performing sedentary work – Continuous

• Performing multiple tasks – Continuous

• Operating standard office equipment - Continuous

• Responding quickly to sounds – Occasional

• Sitting – Continuous

• Standing – Occasional

• Walking – Occasional

• Moving safely in confined spaces – Occasional

• Lifting/Carrying (under 25 lbs.) – Occasional

• Lifting/Carrying (over 25 lbs.) – Never

• Squatting – Occasional

• Bending – Occasional

• Kneeling – Never

• Crawling – Never

• Climbing – Never

• Reaching overhead – Never

• Reaching forward – Occasional

• Pushing – Never

• Pulling – Never

• Twisting – Never

• 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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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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

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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 TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.