Audit Manager II - IT Applications (ATH 983)

TD • Toronto, ON

36d

About The Position

CUSTOMER Support the development and implementation of audit programs by contributing insights and assisting with planning activities. Participate in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines. Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report. Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads) Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts. Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management. Facilitate key discussions and provide thought leadership to executive audience Proven ability to effectively assign work, sequence tasks, and monitor progress across the audit lifecycle. Experience testing and reviewing automated application and interface controls. Experience mentoring and coaching junior staff to improve their technical and soft skills. Strong work ethic and proven adherence to company's standards. Proven ability to engage in challenging discussions, communicate issues, changes, and expectations clearly with management and audit leadership. Proven ability to execute with speed and impact. SHAREHOLDER Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations EMPLOYEE / TEAM Provides thought leadership and/or industry knowledge for own area of expertise Encourage a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services Participate in knowledge transfer within the team and business units. Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits BREADTH & DEPTH Work autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others Provide seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members May lead and/or provide supervisory oversight to complex audits and ensure completion. Knowledge of external competition, industry and/or market trends in relation to own function / business Scope of role may have enterprise impact Undertake and complete a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise May oversee and/or independently perform concurrent multiple audits and related tasks from end to end Ability to process and handle confidential information with discretion.

Requirements

• Undergraduate degree required
• 7+ years of relevant experience
• CISA certification - required to obtain within 12 months of hire

Responsibilities

• Support the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Participate in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.
• Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.
• Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
• Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
• Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area
• Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
• Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas
• Act as the audit lead or audit advisor to management and respective teams for area of specialization.
• Report on emerging trends, identifying issues and opportunities and recommending action to senior management.
• Facilitate key discussions and provide thought leadership to executive audience
• Proven ability to effectively assign work, sequence tasks, and monitor progress across the audit lifecycle.
• Experience testing and reviewing automated application and interface controls.
• Experience mentoring and coaching junior staff to improve their technical and soft skills.
• Strong work ethic and proven adherence to company's standards.
• Proven ability to engage in challenging discussions, communicate issues, changes, and expectations clearly with management and audit leadership.
• Proven ability to execute with speed and impact.
• Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area
• Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required
• Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
• Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
• Provides thought leadership and/or industry knowledge for own area of expertise
• Encourage a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency
• Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services
• Participate in knowledge transfer within the team and business units.
• Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits
• Work autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others
• Provide seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members
• May lead and/or provide supervisory oversight to complex audits and ensure completion.
• Knowledge of external competition, industry and/or market trends in relation to own function / business
• Scope of role may have enterprise impact
• Undertake and complete a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
• May oversee and/or independently perform concurrent multiple audits and related tasks from end to end
• Ability to process and handle confidential information with discretion.

Benefits

• Our 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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.
• 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