Audit Manager I

Work Location

New York, New York, États-Unis d'Amérique

Hours: 40

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

TD is committed to providing fair and equitable compensation opportunities. Growth and skill development are core to the colleague experience. Compensation policies allow progression through the salary range based on skills, experience, knowledge, location, and business needs. Candidates are encouraged to discuss compensation with their recruiter.

Job Description

The Audit Manager I executes audits for an assigned business, function, or project, either as part of a team or as an individual contributor. This role provides subject matter expertise on audits of varying complexity and may manage/lead several moderately complex audits, engagements, and/or projects/initiatives, with responsibility for overall completion.

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 has responsibility for completion of the audit.
• Undertakes and completes a variety of projects and initiatives, which 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.

Must Have Skills

• Data Aggregation and Reporting/Excel: Must be able to aggregate and summarize large data sets.
• Audit Methodology: Should have experience with drafting or testing adherence to Audit Methodology.

Nice To Have Skills

• Data Management: Must understand data management principles, data modeling, data validation, data quality, and data retention.
• Auditor-In-Charge (AIC): Must have experience in audit project management.
• Thompson Reuters Audit Software (TD SMART) and TD Audit Methodology: Experience is a big plus.

Customer Accountabilities

• Conducts audit work based on established audit plans and executes audits in accordance with established standards, ensuring completion.
• Executes testing of controls, including 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 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, identifying key risks and opportunities where controls are missing or inadequate to mitigate these risks.

Shareholder Accountabilities

• Adheres to internal policies/procedures, enterprise frameworks, methodologies, and applicable regulatory guidelines.
• Contributes to the review of internal processes and activities and assists in identifying control weaknesses/failures and 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.
• 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, applying 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, ensuring 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.

Who We Are

TD is one of the world's leading global financial institutions and the fifth largest bank in North America by branches/stores. We strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses globally. More than 95,000 TD colleagues foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, believing all colleagues 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 investments in our colleagues to help them and their families achieve financial, physical, and mental well-being. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards) and 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. 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

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.

Key skills/competency

• Audit Methodology
• Data Aggregation
• Internal Controls
• Risk Assessment
• Stakeholder Management
• Reporting
• Project Management
• Data Management
• Compliance
• Financial Services