Sr Audit Group Manager - Financial Crimes

Work Location & Compensation

This Sr Audit Group Manager - Financial Crimes position is based in New York, New York, United States. The role is full-time, requiring 40 hours per week, with a salary range of $119,110 - $193,550 USD. TD is committed to fair compensation, with base pay varying based on skills, experience, knowledge, location, and business needs. Candidates are encouraged to discuss compensation details with their recruiter.

Job Description

The Senior Audit Group Manager leads and develops a team of audit professionals, overseeing, planning, and executing audits and/or projects of varying complexity. This role may also act as a subject matter expert in their area of expertise, providing guidance, leadership, coaching, and development to ensure operational results and professional/personal development objectives are achieved for the overall group.

Depth & Scope

• Provides people management leadership by hiring talent, setting goals, developing staff, managing performance and compensation decisions, promoting teamwork, and handling disciplinary actions.
• Oversees and leads a large, significant, and/or highly complex and diverse audit team for an area of significant risk, complexity, or scope.
• This is a People Manager role, generally managing a team of more than 5 Audit professionals/specialists.
• Acts as a strategic advisor to the leadership team on portfolio and financial management, utilizing deep industry, external/internal, and enterprise knowledge to recognize emerging trends and identify operational efficiencies.
• Facilitates key strategic audit discussions and provides thought leadership to executives.
• Serves as a highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas, and/or global business lines.
• Sets operational team direction and collaborates with others to execute common goals.
• Focuses on long-term planning for the functional area.
• Ability to process and handle confidential information with discretion.
• May participate in or lead various projects/division initiatives as needed.
• Demonstrates TD leadership Core Values.
• Recognizes team members' contributions.
• Possesses strong presentation skills for delivering training and presentations at the division level, industry conferences, and workshops.

Education & Experience

• Undergraduate degree required.
• 10+ years of relevant experience.

Customer Accountabilities

• Develops, communicates, and implements a holistic strategy for audit area of expertise, supporting and integrating with the overall audit strategy.
• Oversees/leads/manages and plans audit engagement work activities to ensure adequate risk coverage, potentially requiring alignment across multiple areas.
• Contributes to the risk assessment process to develop the divisional annual plan.
• Acts as lead audit advisor to management and respective teams for area of specialization, reporting on emerging trends, identifying issues, and recommending action to senior management.
• Acts as a strategic audit advisor by providing counsel and guidance on audit issues; leads relationships with key enterprise partners and interfaces with respective leadership teams.
• Ensures an integrated and aggregated view of all related activities across the overall function, providing escalations, recommendations, and decision support to leadership.
• Forecasts initiatives and demand, coordinating prioritization of the portfolio/initiatives with key stakeholders.
• Provides functional/business level communications to ensure messages to stakeholders and/or leaders are consistent, appropriate, and aligned to business strategies.
• Leads the team in the development and/or integrated implementation of policies/processes/procedures/changes across multiple audit areas.

Shareholder Accountabilities

• Ensures team adheres to internal policies/procedures, enterprise frameworks and methodologies, and applicable regulatory guidelines.
• Contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies.
• Leads relationships with business lines/corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements.
• Supports team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank.
• Assesses/identifies key issues and escalates to appropriate levels and relevant stakeholders and audit management where required.
• Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
• Identifies, mitigates, and reports on risk issues per enterprise policy/guidelines and ensures appropriate escalation processes are followed.
• Leads or contributes to cross-functional/enterprise initiatives as an organizational or subject matter expert, helping to identify risk/provide guidance for complex situations.
• Oversees or leads the facilitation and/or implementation of own internal audit action/remediation plans to address performance/risk/governance issues.

Employee/Team Accountabilities

• Responsible for overall team management, providing both leadership and guidance.
• Sets targets and objectives for the team and delivers results.
• Grows team expertise to align with enterprise demand and the Bank's direction; assesses team skills and capabilities.
• Fosters an environment/culture that encourages productivity, innovation, process improvement, teamwork, and professionalism.
• Coordinates necessary resources to ensure completion of Audit assignments by deadlines.
• Provides coaching, development, succession, recruitment, resource management, and overall team leadership.
• Prioritizes and manages own workload to deliver quality results and meet timelines.
• Supports a positive work environment that promotes service to the business, quality, innovation, and teamwork.
• Identifies and recommends opportunities to enhance productivity, effectiveness, and operational efficiency.
• Establishes effective relationships across multiple business areas.
• Supports and manages teams through change.
• Acts as a brand ambassador for Internal Audit both internally and externally.

Key skills/competency

• Financial Crimes Audit
• Risk Management
• Team Leadership
• Compliance
• Regulatory Requirements
• Internal Audit
• Strategic Planning
• Stakeholder Management
• Operational Efficiency
• Governance