Audit Manager II, TD Securities Financial Crimes and Sanctions (1172)

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Audit

Pay Details: $96,900 - $136,800 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

• Support the development and implementation of audit programs by contributing insights and assisting with planning activities.

• Participate in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.

• Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.

• Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)

• Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy

• Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area

• Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.

• Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas

• Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management.

• Facilitate key discussions and provide thought leadership to executive audience

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 their business area

• Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements

• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank

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

• Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite

• Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations

EMPLOYEE / TEAM

• Provides thought leadership and/or industry knowledge for own area of expertise

• Encourage 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

• Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services

• Participate in knowledge transfer within the team and business units.

• Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits

BREADTH & DEPTH

• Work autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others

• Provide 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

• Scope of role may have enterprise impact

• Undertake and complete 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.

• Generally, reports to a Senior Audit Group Manager or executive role

EXPERIENCE & EDUCATION

• Undergraduate degree required

• 7+ years of relevant experience

• CAMS, CFE, CIA, CPA, applicable certifications a 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