Audit Manager II, TD Securities

About the position

The Audit Manager II provides specialized in-depth subject matter expertise and is responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. This role leads and/or provides supervisory oversight to complex audits and ensures completion. The position requires experience with audit validation of regulatory findings, including MRA's, and preferred experience with U.S. Anti-Fraud, Securities and Commodities laws, rules, and regulations as they pertain to U.S. broker dealers.

Responsibilities

• Works autonomously and accountable for acting as a lead within a specialized audit practice area and may provide work direction to others.
• Provides 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.
• Undertakes and completes 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.
• Contributes to the Audit planning process for specific businesses/ functional units, including audit plans, resource requirements and budgets.
• Performs testing of critical areas of audit; performs review of audit documentation; oversees findings follow up and issue validation.
• Ensures audits are executed and completed in accordance with established standards and within prescribed time, budget and scope parameters to ensure deadlines are met.
• Acts as primary contact with management regarding audit scope, findings and status.

Requirements

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required.
• 7+ years of relevant experience.
• Advanced knowledge of audit standards, procedures, laws, rules and regulations.
• Knowledge of risk management environment, standards and regulations.
• Skilled in mentoring, coaching and performance management.
• Skilled in using computer applications including MS Office.
• Ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit.
• Ability to communicate effectively in both oral and written form.
• Ability to work collaboratively and build relationships across teams and functions.
• Ability to exercise sound judgement in making decisions.
• Ability to analyze, organize and prioritize work while meeting multiple deadlines.

Nice-to-haves

• Experience with U.S. Anti-Fraud, Securities and Commodities laws, rules, and regulations as they pertain to U.S. broker dealers.

Benefits

• Base salary and variable compensation/incentive awards.
• 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 opportunities.
• Reward and recognition programs.