Audit Manager II (US) - Financial Crimes - Quality Control

TD • New York, NY

1d • $99,540 - $149,310

About The Position

Job Description : The Internal Audit Division Quality Control (QC) team is responsible for the development and execution of the QC annual plan as well as providing real time feedback on the alignment of audit delivery team audit work with TD Audit Methodology, regulatory expectations, industry best practices, and the Institute of Internal Auditors requirements. As a Quality Control Audit Manager II, you’ll plan and perform complex quality control reviews for the Financial Crimes Audit Team. You will be managing associated working relationships with internal audit teams. You’re already well-seasoned for delivering quality assurance reviews analysis and reporting to the internal audit teams. You’re coming to the table fully knowledgeable about the Institute of Internal Auditors Standards, financial industry and regulatory landscape, and current market trends, and, here at TD, you’d be putting that insight into action. Act as a specialized resource on quality control reviews to provide subject matter expertise for audit planning, execution and reporting and related processes with a high degree of complexity, visibility, and urgency. Play a key role in developing and executing the QC Program to contribute to the quality of the Internal Audit Division and strategic direction of Audit Methodology Plan and execute quality control activities that require coordination and alignment across multiple teams and provide feedback, perform follow-ups, and escalate challenges to the QC Program Manager and senior leadership concurrently with audit work execution. Guide the team and participate in identification of training and methodology updates needed. Lead the ongoing QC communications and reporting process with the audit team, senior management, and QC Program. Identify and resolve key methodology issues by providing guidance for complex situations and report non-standard issues to the appropriate levels and shareholders where required Keep current on emerging trends and evolving regulatory requirements to find opportunities and recommend improvement areas to senior management to increase the efficiency and effectiveness of the team. Build positive, diverse, and open work environment by continually improving efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results. Assist other QC performers as needed. Depth & Scope: Works autonomously and accountable for acting as a lead within a specialized audit practice area and 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 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 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
• Advanced knowledge of business processes and operations, risk, change and project methodologies, organizational practices and business transformation
• Capabilities required include subject matter expertise on infrastructure technologies (cloud computing, operating systems, networking, etc.), cyber security etc.
• Experience in leading audit with a focus on Financial Crimes

Nice To Haves

• Over 7 years of experience in auditing and/or quality assurance with an undergraduate degree
• Relevant professional certifications or designations (CIA, CISA, CAMS)
• Advanced knowledge of the Standards of the Institute of Internal Auditors, Risk Management, and Compliance
• Deep knowledge of auditing, quality assurance, and integration of cross functional processes to undertake and complete a variety of QC projects and initiatives
• Expertise in using software tools, windows applications, data analysis and reporting techniques
• A strong team leader who can negotiate and influence key partners including employees
• Aptitude in exercising sound judgment while making decisions and handling confidential information with discretion
• Ability to work collaboratively and communicate effectively in both oral and written form
• A deep understanding of inherent risks and the ability to translate these risks into business language

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 execute 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

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
• Number of Employees: 101-250 employees