Audit Manager I (US) - Financial Crimes

TD Bank • Charlotte, NC

8d

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 provides subject matter expertise on audits of varying complexity. The role may lead moderately complex audits, engagements, or initiatives and is responsible for completing the audit. The position oversees or independently performs audits from end to end, contributes to audit planning, and manages audit communications with stakeholders. It also provides objective, independent opinions on internal controls and presents findings and recommendations to stakeholders and audit management. 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 with the role.

Requirements

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

Nice To Haves

• Experience auditing in the BSA, AML, or OFAC domain.
• Ability to multitask audit deliverables and manage delivery priorities.
• Experience conducting walkthroughs, testing audit results, and producing high-quality documentation.
• Understanding of the regulatory environment related to BSA/AML and exposure to work environments with high regulatory scrutiny.
• Relevant professional certification such as CAMS, CIA, or similar.

Responsibilities

• Conduct audit work according to 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 and results, grids, and evidence uploads.
• Contribute to audit planning and ensure appropriate audit programs and risk assessments are completed.
• Manage ongoing audit communications with stakeholders during and after audits.
• Present objective, independent opinions on the adequacy of 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 or 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; contribute to reviews of processes and identification of control weaknesses or efficiency improvements.
• Develop complex reporting, analysis, and assessments at the functional or enterprise level as needed.
• Prioritize and manage workload to deliver quality results within assigned timelines, and stay current on emerging trends and developments.
• Develop and deliver audit findings, presentations, and communications to management or broader audiences; identify key issues and escalate them where required.
• Contribute to analysis, due diligence, and implementation of initiatives within the area of responsibility.
• Continuously enhance expertise, support a positive and collaborative work environment, recommend productivity and efficiency improvements, establish relationships across businesses, and participate in knowledge transfer.

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, training, mentoring programs, and access to an online learning platform.
• Reward and recognition programs.
• Variable compensation or incentive awards may be available, including cash and/or equity awards through an incentive plan.

What This Job Offers

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