Audit Manager I (US) - Financial Crimes

TD•Portland, ME

3d•$77,260 - $128,940

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 manage or lead moderately complex audits, engagements, projects, or initiatives and is responsible for their completion. The position oversees or independently performs audits end to end, contributes to audit planning, and handles confidential information with discretion. The role conducts audit work according to established plans and standards, tests controls, manages audit communications, and presents objective, independent opinions on internal controls. It also follows up on regulatory and internal audit findings, contributes specialized expertise to audit initiatives, and supports adherence to policies, enterprise frameworks, methodologies, and regulatory guidance. The role may develop complex reporting and assessments, communicate findings to management, identify control weaknesses and improvement opportunities, and collaborate across business areas and teams. The role is based in New York, New York. In-office work is strongly preferred; remote candidates outside TD's footprint may be considered at the hiring manager's discretion when their skills and experience closely align. The posted schedule is 40 hours.

Requirements

Undergraduate degree required.
At least 5 years of relevant experience.
Strong judgment in evaluating evidence sufficiency, appropriate testing depth, and severity of audit issues.
Robust auditing skills, particularly in Financial Crimes.
Ability to work independently and with a sense of urgency.
Ability to process and handle confidential information with discretion.
Proficiency with MS Office, Power BI, AI, and supporting data analysis and reporting requirements within the audit function.

Nice To Haves

Experience in Issue Validation, confirming corrective actions have been implemented and are effective in addressing identified deficiencies.
Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), or Certified Fraud Examiner (CFE) certification.
In-office availability is strongly preferred; remote candidates outside TD's 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 completion.
Execute control testing, including leading and documenting walkthroughs, developing and executing test scripts, and identifying and capturing issues.
May develop Audit Planning Memorandums, Process Risk and Control Matrices, findings grids, and audit reports.
May complete L1 reviews and sign off on audit activities, including walkthroughs, test scripts, results, grids, and evidence uploads.
Contribute to audit planning and ensure appropriate audit programs and risk assessments are completed.
Manage audit communications with stakeholders during and after audits.
Present objective and independent audit opinions on 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, identifying key risks and controls that are missing or inadequate.
Adhere to internal policies, procedures, enterprise frameworks, methodologies, and regulatory guidelines; help identify control weaknesses and operational efficiency improvements.
May develop complex reporting, analyses, and assessments at the functional or enterprise level.
Prioritize and manage workload to deliver quality results within assigned timelines.
Keep current with emerging trends and developments and apply knowledge of the business, analytical tools, and techniques where appropriate.
Develop and deliver audit findings, presentations, and communications to management or broader audiences.
Assess and identify key issues and escalate them to appropriate levels and stakeholders when required.
Contribute to analysis, due diligence, and implementation of initiatives within the defined area of responsibility.
Continuously enhance knowledge and expertise; support a positive, collaborative work environment and timely communication of issues.
Identify and recommend opportunities to improve productivity, effectiveness, and operational efficiency.
Establish effective relationships across multiple businesses and participate in knowledge transfer.
Work toward individual goals and support team goals and divisional objectives.