Senior Auditor - Compliance (US)

TD Bank • Mount Laurel, NJ

2d • $63,540 - $104,020 • Onsite

About The Position

The Senior Audito r – U.S. Compliance Audit is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines for TD Bank's Governance, Risk & Oversight Functions. The US Consumer Compliance team is primarily responsible for auditing US Consumer Compliance regulations (including but not limited to UDAAP, TILA, HMDA, RESPA, EFTA, etc.) and sufficiency of systems, processes, and oversight to support regulatory compliance. This role supports audit engagements through evaluating , documenting, and testing the design and operating effectiveness of internal controls under manager guidance. The Senior Auditor is responsible for execution of control testing, identification of findings, and delivery of high-quality audit workpapers and reporting. Depth & Scope Performs assigned test steps for audits, findings follow-up, special projects; form conclusions and document work in database. Communicates and discusses audit report with business line. Participates in planning of audits. Receives coaching sessions, feedback discussions from in-charge manager. Obtains appropriate training. Makes discretionary decisions and applies professional judgment when assessing control. Provides on-the-job training for team members. Provides recommendations to management regarding the control environment. Other responsibilities as required. Participates in post-audit critique meeting. Developing skills to build and maintain relationships within, and external to, audit. Demonstrates TD leadership Core Values. Recognizes team members' contributions. Participates in, and actively supports implementation of department improvement initiatives. Developing skills in building and maintaining relationships within and external to audit.

Requirements

• Undergraduate degree required
• 3+ years of related experience
• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment
• Strong analytical and problem-solving skills
• Ability to work independently and collaboratively in a team environment
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools

Nice To Haves

• Banking industry audit experience with focus on Governance, Risk & Oversight Function preferred
• Relevant professional certifications (e.g., CIA, CPA, CRMA) or progress towards preferred

Responsibilities

• Performs assigned test steps for audits, findings follow-up, special projects; form conclusions and document work in database.
• Communicates and discusses audit report with business line.
• Participates in planning of audits.
• Receives coaching sessions, feedback discussions from in-charge manager.
• Obtains appropriate training.
• Makes discretionary decisions and applies professional judgment when assessing control.
• Provides on-the-job training for team members.
• Provides recommendations to management regarding the control environment.
• Other responsibilities as required.
• Participates in post-audit critique meeting.
• Developing skills to build and maintain relationships within, and external to, audit.
• Demonstrates TD leadership Core Values.
• Recognizes team members' contributions.
• Participates in, and actively supports implementation of department improvement initiatives.
• Developing skills in building and maintaining relationships within and external to audit.

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