Audit Manager II US Compliance

TD•Mount Laurel, NJ

2d•Onsite

About The Position

Works autonomously and is accountable for acting as a lead within a specialized audit practice area, providing 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. Knowledge of external competition, industry, and/or market trends in relation to own function/business. Scope of role may have enterprise impact. Undertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross-functional processes within their 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

Responsibilities

Supports the development and implementation of audit programs by contributing insights and assisting with planning activities.
Participates in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.
Executes the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.
Completes L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads).
Oversees / leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
Oversees / leads the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area.
Contributes to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
Leads / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas.
Acts as the audit lead or audit advisor to management and respective teams for area of specialization.
Reports on emerging trends, identifying issues and opportunities and recommending action to senior management.
Facilitates key discussions and provide thought leadership to executive audience.
Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assists in identifying control weaknesses / failures, potential opportunities to improve operational efficiencies for their business area.
Actively manages relationships with business lines / corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements.
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank.
Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required.
Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provides guidance for complex situations.
Provides thought leadership and/or industry knowledge for own area of expertise.
Encourages a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues / points of interest.
Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency.
Works effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services.
Participates in knowledge transfer within the team and business units.
Contributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits.