Senior Auditor (US) - Financial Crimes

TD•New York, NY

1d•$70,730 - $106,090

About The Position

The Senior Auditor executes audits for an assigned business and may focus on a specific audit specialization, function, or project. The role provides audit expertise and executes audit processes as part of a team or as an individual contributor. It is an experienced audit professional position that provides guidance or assistance to the supported function, requires sound audit or business conceptual knowledge, and independently performs assigned tasks from end to end. The role also requires discretion when processing and handling confidential information. The Senior Auditor conducts audit work in accordance with established plans and standards, tests controls, coordinates communication with stakeholders, reviews internal controls, follows up on findings, and contributes to audit projects and initiatives. The role also supports reporting and analysis, communicates findings to management and other audiences, manages assigned work and timelines, stays current on relevant developments, and works collaboratively across teams and businesses.

Requirements

Undergraduate degree required.
At least 3 years of relevant experience.
Ability to perform assigned tasks independently from end to end.
Sound conceptual knowledge of audit or business.
Ability to handle confidential information with discretion.

Nice To Haves

At least 3 years of work experience in an audit capacity or compliance testing/monitoring function.
Banking-industry audit experience, preferably focused on Financial Crime, BSA/AML, Governance, Risk & Oversight Functions.
Relevant professional certification, such as CIA, CPA, CRMA, CAMS, or CFE, or progress toward certification.
Strong written and verbal communication skills for clear and effective interaction in a fast-changing environment.
Strong analytical and problem-solving skills.
Ability to work independently and collaboratively in a team environment.
Proficiency in Microsoft Office Suite (Excel, Word, and PowerPoint) and experience with risk management and audit tools.

Responsibilities

Conduct audit work based on established audit plans and standards, ensuring completion.
Execute control testing, including walkthrough documentation, test-script development and execution, and issue identification.
Help coordinate communication with stakeholders throughout the audit process.
Support reviews of internal controls and share findings and suggestions with stakeholders and audit leadership.
Follow up on findings raised by regulatory and internal divisional audits in accordance with firm policy.
Provide input to audit projects and initiatives as a representative for the area of specialization.
Adhere to internal policies, procedures, enterprise frameworks and methodologies, and applicable regulatory guidelines.
Contribute to the review of internal processes and activities, identify control weaknesses or failures, and identify opportunities to improve operational efficiency.
Develop and provide complex reporting, analysis, and assessments at the functional or enterprise level, as applicable.
Prioritize and manage workload to deliver quality results within assigned timelines.
Keep current on emerging trends and developments, build business and analytical-tool knowledge, and apply relevant techniques.
Assist in preparing and sharing audit findings and presentation materials with management and broader audiences.
Assess and identify key issues and escalate them to appropriate levels and stakeholders when required.
Contribute to analysis, due diligence, and implementation of initiatives within the assigned area of responsibility.
Continuously enhance knowledge and expertise in the area.
Support a positive work environment that promotes service, quality, innovation, teamwork, and timely communication.
Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency.
Establish effective relationships across multiple businesses.
Participate in knowledge transfer within the team and business units.
Work toward individual goals and support team members in achieving team goals and divisional objectives.