Senior Auditor (US) - Financial Crimes

TD Bank•Mount Laurel, NY

1d•Onsite

About The Position

The Senior Auditor executes audits for an assigned business and may be dedicated to an audit specialization (ex. credit, retail, operational, platforms and tech, etc.), function or project and/or provides audit expertise and executes audit processes as part of a team or as an individual contributor. This is an experienced audit professional role providing guidance / assistance to the function supported. Requires sound audit or business conceptual knowledge. The Senior Auditor independently performs tasks from end to end as assigned and has the ability to process and handle confidential information with discretion.

Requirements

Undergraduate degree required
3+ years of relevant 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)
Experience with risk management and audit tools

Nice To Haves

3+ years of work experience in an audit capacity or compliance testing/monitoring function
Banking industry audit experience with a preferred focus on Financial Crime, BSA/AML, Governance, Risk & Oversight Functions
Relevant professional certifications (e.g., CIA, CPA, CRMA) or progress towards preferred

Responsibilities

Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion.
Executes testing of controls such as but not limited to walkthroughs (documentation), test scripts (development and execution), and issue identification.
Helps coordinate communication with the stakeholders throughout the audit process.
Supports the team in reviewing internal controls and sharing findings and suggestions with both the stakeholders and audit leadership.
Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
Provides input to audit projects/initiatives as a representative for area of specialization.
Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area.
May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level.
Prioritizes and manages own workload to deliver quality results and meet assigned timelines.
Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriate.
Assists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit process.
Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required.
Contributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility.
Continuously enhances knowledge / expertise in own area.
Supports 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.
Establishes effective relationships across multiple businesses.
Participates in knowledge transfer within the team and business units.
Works to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.