Audit Manager I, Compliance Audit Centre of Excellence (964)

TD•Toronto, ON

1d•CA$81,600 - CA$115,200•Onsite

About The Position

The Compliance Audit Centre of Excellence (CoE) is focused on strengthening TD's audit approach for regulatory compliance risk. As an Audit Manager I, you’ll play a key role in building and implementing the compliance coverage model and supporting the roll-out of the CoE strategy. You will partner with audit teams to provide guidance on compliance coverage and testing, and you will also take part in planned audits where you will deliver hands-on testing and CoE support. Compliance CoE: Support the build-out and implementation of the compliance coverage model for enhanced audit coverage of regulatory compliance risk. Partner with audit teams to provide subject matter expertise for planning, risk assessment, execution of audits and reporting with a high degree of complexity. Support the roll-out of tools, templates, and guidance to help audit teams deliver high-quality compliance audit work. Partner with Audit's Data & Analytics Team to leverage support for automation. Develop great working relationships with audit teams through clear communication and effective stakeholder management. Support Audit's annual planning and risk assessment process as needed. Compliance Audits: Plan and lead audit activities that require alignment across multiple areas and execute follow-ups of findings arising from internal audits and regulatory reviews as per the standards. Lead the ongoing audit communications and the reporting process with the client, senior management and external auditors. Guide the team and participate in identification, design, testing and implementation of a wide range of complex audit initiatives. Identify and resolve key issues by providing guidance for complex situations and report non-standard issues to the appropriate levels and shareholders where required. Keep current on emerging trends and evolving regulatory requirements to find opportunities, and recommend improvement areas to senior management to increase the efficiency and effectiveness of the team Build positive, diverse and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.

Requirements

Over 5 years of relevant experience with undergraduate degree
Relevant professional certifications, accounting designations
Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applications
Proficient to work multi-functionally, provide guidance to other team members and ensure good relations across teams and functions to work on projects that may require integration of cross functional processes
Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment

Responsibilities

Support the build-out and implementation of the compliance coverage model for enhanced audit coverage of regulatory compliance risk.
Partner with audit teams to provide subject matter expertise for planning, risk assessment, execution of audits and reporting with a high degree of complexity.
Support the roll-out of tools, templates, and guidance to help audit teams deliver high-quality compliance audit work.
Partner with Audit's Data & Analytics Team to leverage support for automation.
Develop great working relationships with audit teams through clear communication and effective stakeholder management.
Support Audit's annual planning and risk assessment process as needed.
Plan and lead audit activities that require alignment across multiple areas and execute follow-ups of findings arising from internal audits and regulatory reviews as per the standards.
Lead the ongoing audit communications and the reporting process with the client, senior management and external auditors.
Guide the team and participate in identification, design, testing and implementation of a wide range of complex audit initiatives.
Identify and resolve key issues by providing guidance for complex situations and report non-standard issues to the appropriate levels and shareholders where required.
Keep current on emerging trends and evolving regulatory requirements to find opportunities, and recommend improvement areas to senior management to increase the efficiency and effectiveness of the team
Build positive, diverse and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.