Senior Audit Manager (US) - Securities and Wealth Compliance

TD Bank•Mount Laurel Township, NJ

About The Position

The Senior Audit Manager leads a team of audit professionals and provides specialized in-depth subject matter expertise with respect to Securities and Wealth Compliance, including the regulatory requirements of FINRA, SEC, CFTC, etc. May also act as a specialized resource on other audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes specific to securities and wealth compliance. Leads and/or provides supervisory oversight to deliver on-time audits and related engagements projects/initiatives, including issues and regulatory validations. Depth & Scope: Accountable for a significant audit area that typically has enterprise wide or broad functional / business impact or accountability Requires enterprise or functional expert, requiring broad and deep specialized knowledge at the enterprise level for certain teams May lead and/or provide senior supervisory oversight to very complex audits and ensure completion Undertakes and completes a variety of complex audit initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processes Advanced knowledge of external competition, industry and/or market trends in relation to own function / business Typically deals with senior/executive management May manage and prioritize concurrent multiple projects at a given time Supports operational team direction and collaborates with others to execute on common goals Focuses on long term planning for functional area Ability to process and handle confidential information with discretion

Requirements

Undergraduate degree required
10+ years of relevant experience
Relevant certification required (CIA and CRCM preferred)
Experienced people manager, leading a compliance audit team
Experience auditing securities, broker-dealer and/or wealth compliance
Excellent oral and written communication skills
Advanced level of critical thinking, risk based decision making, problem solving and conflict resolution skills
Works well independently and with others
Completes tasks timely and accurately
Escalates issues and delays quickly
Effectively manages competing priorities for self
Advanced awareness of laws and regulations governing the banking industry that impact assigned area, specifically securities, broker-dealer, and/or wealth compliance
Advanced functional audit knowledge and skills
Knowledge in subject matter areas, specifically consumer financial regulations
Proficient conflict resolution skills
Adapts, promotes, and champions change
Assumes ownership and promotes accountability
Thrives in fast-paced and challenging environments
Advanced skills in building and maintaining relationships within, and external, to audit
Strong ability to develop relationships with the business while conducting audits
Consults assigned lines of business (trusted advisor)
May manage a team of professional resources indirectly and actively trains /coaches audit staff
Proficient influencing skills
PC skills (MS Office Suite)

Responsibilities

Contributes to the strategic direction of the audit function and play a key role in the development and implementation of programs
Plans, leads / manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters
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
Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation
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 assesses 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 / provide 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 ensures 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

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.

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