Audit Manager I (US)

TD • New York, NY

4d • $72,280 - $117,520

About The Position

The Audit Manager I executes audits for an assigned business, function, or project, either as part of a team or as an individual contributor, and may provide subject matter expertise on audits of varying complexity. The role may lead moderately complex audits, engagements, projects, or initiatives and is responsible for completing assigned audits. It oversees or independently performs audits end to end, may coach and educate others, and may undertake initiatives involving cross-functional processes. The position requires handling confidential information with discretion.

The role conducts audit work according to established plans, standards, policies, and methodologies. It tests controls, contributes to audit planning and risk assessments, manages stakeholder communications, presents independent opinions on internal controls, follows up on findings, and provides subject matter expertise on risks and control gaps. It also supports reporting, escalations, operational improvements, collaboration across teams, and knowledge sharing.

The position is based in New York, New York. The stated schedule is 40 hours. The role requires an undergraduate degree and at least five years of relevant experience. Preferred qualifications include five or more years as an internal auditor in banking or financial services, Financial Crimes team experience, and relevant professional certifications or accounting designations. Compensation is listed as $72,280–$117,520 USD.

Requirements

• Undergraduate degree required.
• At least 5 years of relevant experience.
• Ability to handle confidential information with discretion.
• Strong written and verbal communication skills to interact clearly and effectively in a fast-changing environment.
• Ability to work cross-functionally, provide guidance to team members, and maintain effective relations across teams and functions.

Nice To Haves

• At least 5 years as an Internal Auditor (AML, BSA, Testing, or CoE) in the banking or financial industry.
• Financial Crimes team work experience.
• Relevant professional certifications or accounting designations; CAMS and/or CIA are a plus.
• Hands-on knowledge of Microsoft Office, including Excel, Word, PowerPoint, Access, and Outlook, and Internet applications.

Responsibilities

• Conduct audit work based on established audit plans and execute audits in accordance with established standards, ensuring completion.
• Execute control testing, including walkthroughs, test-script development and execution, and issue identification and documentation.
• May develop Audit Planning Memorandums (APMs), Process Risk and Control Matrices (pRCMs), findings grids, and audit reports.
• May complete L1 reviews and sign off on audit activities, including walkthroughs, test scripts, test results, findings grids, and evidence uploads.
• Contribute to audit planning for assigned audits and ensure appropriate audit programs and risk assessments are completed.
• Manage audit communications with stakeholders during and after audits.
• Present objective and independent opinions on the adequacy of internal controls, including findings and recommendations, to stakeholders and audit management.
• Follow up on findings from regulatory and internal divisional audits in accordance with firm policy.
• Provide subject matter expertise or input to audit projects and initiatives, identify key risks, and identify missing or inadequate controls.
• Adhere to internal policies, enterprise frameworks, methodologies, and applicable regulatory guidelines; help identify control weaknesses and opportunities to improve operational efficiency.
• May develop complex reporting, analysis, and assessments at the functional or enterprise level.
• Manage workload and timelines, keep current with relevant developments, and apply business knowledge and analytical tools and techniques.
• Develop and deliver audit findings, presentations, and communications to management or broader audiences; identify and escalate key issues when required.
• Contribute to analysis, due diligence, and implementation of initiatives within the defined area of responsibility.
• Continuously build expertise, support a positive and collaborative work environment, and recommend productivity and operational-efficiency improvements.
• Build relationships across multiple businesses and participate in knowledge transfer within the team and business units.
• Achieve individual goals and support team goals and divisional objectives.
• May coach and educate others and lead moderately complex audits, engagements, projects, or initiatives.

Benefits

• 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
• Variable compensation or incentive awards, potentially including cash and/or equity incentive awards
• Training and onboarding
• Online learning platform and mentoring programs

What This Job Offers

• Job Type: Full-time
• Career Level: Manager