Audit Manager I (US) - Financial Crimes

TD•Portland, ME

9d•$77,260 - $128,940

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 may provide subject matter expertise on audits of varying complexity. The role may manage or lead moderately complex audits, engagements, and initiatives, with responsibility for completing the audit. It oversees and/or independently performs audits end-to-end, may coach and educate others, and handles confidential information with discretion. The role conducts audit work in accordance with established plans and standards, including control testing, audit planning, stakeholder communications, and follow-up on findings. It provides an objective and independent opinion on internal controls, presents findings and recommendations, and contributes specialized expertise to identify risks and opportunities to improve controls. In-office work is strongly preferred; remote candidates outside the TD footprint may be considered at the hiring manager’s discretion when their skills and experience closely align.

Requirements

Undergraduate degree required.
At least 5 years of relevant experience.
Ability to process and handle confidential information with discretion.

Nice To Haves

Experience auditing in the BSA/AML/OFAC domain.
Ability to multitask audit deliverables and manage priorities for delivery.
Experience conducting walkthroughs, testing audit results, and producing high-quality documentation.
Understanding of the regulatory environment related to BSA/AML and exposure to an environment with high regulatory scrutiny.
Relevant professional certification, such as CAMS, CIA, or similar.
In-office work is strongly preferred; remote candidates outside the TD footprint may be considered at the hiring manager’s discretion if their skills and experience closely align.

Responsibilities

Conduct audit work based on established audit plans and standards, ensuring audits are completed.
Execute control testing, including leading and documenting walkthroughs, developing and executing test scripts, and identifying and recording issues.
Develop audit planning memoranda, process risk and control matrices, findings grids, and audit reports, as applicable.
Complete L1 reviews and sign off on audit activities, including walkthroughs, test scripts, test results, grids, and evidence uploads, as applicable.
Contribute to audit planning, including completion of appropriate audit programs and risk assessments.
Manage ongoing audit communications with stakeholders during and after audits.
Present objective, independent opinions on internal controls and communicate 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 and input to audit projects and initiatives, identify key risks, and identify missing or inadequate controls.
Adhere to internal policies, procedures, enterprise frameworks, methodologies, and applicable regulatory guidelines; help identify control weaknesses and opportunities to improve operational efficiency.
Prepare complex reporting, analysis, and assessments at the functional or enterprise level, as applicable.
Manage workload and timelines, keep current on relevant trends and developments, and apply business knowledge and analytical tools where appropriate.
Develop audit findings and presentations or communications for management and broader audiences; escalate key issues to appropriate stakeholders.
Contribute to analysis, due diligence, and implementation of initiatives within the area of responsibility.
Enhance subject matter knowledge, promote a positive and collaborative work environment, recommend productivity and efficiency improvements, build cross-business relationships, and participate in knowledge transfer.
Work toward individual goals and support team goals and divisional objectives.