Audit Manager II

Work Location:

Hours:

Line of Business:

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

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

Who We Are

TD Securities 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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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.  

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 

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.