Audit Manager I, TD Securities (1151)

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Audit

Pay Details: $81,600 - $115,200 CAD

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.

Job Description:

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

• Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion

• Execute 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)

• Contribute to the audit planning process for specific audits, ensuring appropriate programs and audit risk assessments are completed accordingly

• Manage the ongoing audit communications process with the stakeholders during and subsequent to the audit

• Present 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

• Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy

• Provide 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

• 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 own business area

• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level

• Prioritize and manage own workload to deliver quality results and meet assigned timelines

• Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate

• Develop and deliver audit findings, presentations / communications to management or broader audience

• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required

• Contribute to the analysis, due diligence and implementation of initiatives within defined area of responsibility

EMPLOYEE / TEAM

• Continuously enhance knowledge / expertise in own area Support 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

• Establish effective relationships across multiple businesses

• Participate in knowledge transfer within the team and business units

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

BREADTH & DEPTH

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

• Oversee and/or independently perform audits from end to end

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

• Undertake and complete 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.

• Generally, reports to an Audit Group Manager or Senior Audit Group Manager role

EXPERIENCE & EDUCATION

• Undergraduate degree required

• 5+ years of relevant experience

• Knowledge/experience in Capital Markets/investment banking an asset

• CPA, CA, FRM, CFA- considered strong asset

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.

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.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only): Sans Objet