Audit Manager I (US) - Financial Crimes - Insider Risk / Misconduct

TD•Mount Laurel, NJ

3d•Onsite

About The Position

The Audit Manager I – Issue Validation (Insider Risk) is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines. The Audit Manager I will participate in the planning, execution, and documentation of audits/projects to ensure they are aligned with management expectations and executed timely. This role will provide support, manage relationships with senior management, and contribute to the continuous improvement of risk management practices.

Requirements

Undergraduate degree required
5+ years of relevant experience
Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment
Strong analytical and problem-solving skills
Ability to work independently and collaboratively in a team environment
Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools

Nice To Haves

Experience in Insider Risk, Misconduct Risk, and/or Financial Crimes
Banking industry audit experience specifically performing validation and remediation work
Professional certifications, relevant designations preferred (e.g., ACAMS, CIA, CFE and etc.)

Responsibilities

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 have responsibility for completion of the audit
Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise
Ability to process and handle confidential information with discretion
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