Audit Manager II (US)

TD•Chicago, IL

11d•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. Possesses knowledge of external competition, industry, and/or market trends in relation to own function/business. The scope of the role may have an 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. Possesses the ability to process and handle confidential information with discretion.

Requirements

Undergraduate degree required
7+ years of relevant experience
Ability to process and handle confidential information with discretion
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous

Nice To Haves

Knowledge of external competition, industry and/or market trends in relation to own function / business
Scope of role may have enterprise impact
International Travel – Never
Responding quickly to sounds – Occasional
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Squatting – Occasional
Bending – Occasional
Reaching forward – Occasional

Responsibilities

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
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
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