Audit Manager I (US) - Financial Crimes Audit

TD • Tampa, FL

18h • $75,020 - $125,180

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.

Requirements

• Undergraduate degree required
• 5+ years of relevant experience
• Ability to process and handle confidential information with discretion

Nice To Haves

• CAMS, CIA, CRCM, CFE or CPA a plus

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

• Growth opportunities and skill development are defining features of the colleague experience at TD.
• Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.
• Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
• You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

What This Job Offers

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