Audit Manager I (US) - Financial Crimes

TD • Mount Laurel, NJ

18h • Onsite

About The Position

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provide subject matter expertise on audits ranging in complexity. May manage/lead a number of moderately complex audits, related engagement and/or projects/initiatives and has responsibility for completion of the audit. This role works as an audit subject matter expert and may coach and educate others, overseeing and/or independently performing audits from end-to-end. The Audit Manager I may lead moderately complex audits and has responsibility for their completion. The position involves undertaking and completing a variety of projects and initiatives, which may include the integration of cross functional processes within their area of expertise, and requires the ability to process and handle confidential information with discretion.

Requirements

• Undergraduate degree required
• 5+ years of relevant experience
• Analytical and problem-solving skills
• Act like an owner; Execute with speed and impact; only take risks we can understand and manage
• Critical thinker and quick learner to handle first-time audits or horizontal/end-to-end audit of high-risk areas

Nice To Haves

• Audit experience from financial institutions or top accounting firms
• Preferred certifications: CAMS, CIA, CPA, CISA

Responsibilities

• Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion
• Executes testing of controls such as 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 the 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 identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks
• Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assist in identifying control weaknesses / failures, potential opportunities to improve operational efficiencies for own business area
• May develop and provides 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 and apply 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
• Continuously enhances knowledge / expertise in own area
• Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures 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

Benefits

• base salary
• variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
• 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
• reward and recognition
• regular development conversations
• training programs
• competitive benefits plan
• access to an online learning platform
• variety of mentoring programs

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees