Audit Manager II (US) - Financial Crimes- Issue Validation

TD Bank • Greenville, NY

18d • $92,220 - $149,310

About The Position

The Audit Manager II is a senior-level leader within the U.S. Financial Crimes Regulatory Issue Validation Audit function, providing specialized in-depth subject matter expertise and responsible for Validating Regulatory Issues working through the audit methodology and working directly with impacted businesses and contributing to the planning and oversight to the validation function. The U.S. Financial Crimes Regulatory Issue Validation Audit function is primarily responsible for managing the validation process for regulatory issues as well as some Audit identified or self -identified issues that are related to existing regulatory issues. The Audit Manager II will lead or serve as Auditor-In-Charge on complex regulatory audit engagements and provide day-to-day leadership, coaching, and guidance to engagement team members driving high quality, effective and timely execution of audit engagements, deadlines, budgets, and project plans. The main function of the Audit Manager II – U.S. Financial Crimes Regulatory Issue Validation Audit is to oversee testing of design and operational effectiveness focused on Regulatory Issue validation as well as Internal issue validation tied to regulatory issues and managing the suite of work required to meet regulatory deadlines and internal timelines through tracking and monitoring all items within the teams scope of work.

Requirements

• Undergraduate degree required
• 7+ years of relevant experience
• Advanced knowledge of audit standards, procedures, laws, rules, and regulations
• Ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit
• Skilled in mentoring, coaching, and performance management
• Ability to work independently as well as collaboratively in a team environment
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to contribute to strategic direction of the audit function and provide advice to senior leadership particularly around process improvement
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools

Nice To Haves

• Experience as a former OCC, CFPB, FDIC, FRB, or NCUA compliance examiner
• Banking industry audit experience with focus on Financial Crimes Compliance and issue validation strongly preferred
• Relevant professional certifications, or other relevant industry certifications strongly preferred (e.g., CIA, CRCM, CAMS)

Responsibilities

• Contributes to the Audit planning process for specific businesses/ functional units, including audit plans, resource requirements and budgets
• Has overall responsibility for completion of audits.
• Plans and leads audits and oversees staff working on multiple audits, forming conclusions, communicating scope/findings to business line.
• 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
• Oversees a small to medium sized team assigned to a given audit and provide coaching and feedback on performance throughout the audit
• Evaluates internal and external risks for assigned business lines and/or functions utilizing their subject matter expertise.
• Acts as primary contact with management regarding audit scope, findings and status

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.
• 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