Sr Audit Manager (US)

TD•Tampa, FL

3d•Onsite

About The Position

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact – both in day-to-day operations and in the design of a future-focused compliance program. This is not just about implementing a new program – it's about creating a culture of compliance that will cascade throughout the organization. The ideal candidate will thrive in a fast-paced setting as we build a new compliance structure that aligns with the bank’s size, complexity, and risk profile. In this role, you’ll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future. Beyond technical expertise, we’re looking for someone with an entrepreneurial mindset—someone who can "roll up their sleeves", takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure. Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you’ll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards. The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. Leads and/or provides supervisory oversight to audits and related engagements projects/initiatives and ensure completion. The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. Leads and/or provides supervisory oversight to audits and related engagements projects/initiatives and ensure completion.

Requirements

Undergraduate degree required
10+ years of relevant experience
Must be an Internal Auditor with an AML/BSA/Testing/CoE on a Financial Crimes Team background in the banking/financial industry.
Must have strong Stakeholder Business relationship work experience.
Must have Formal People Manager work experience.
Must have strong verbal/oral/written communication skills.

Nice To Haves

Certified: CAMS/Fraud Examiner is a plus

Responsibilities

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
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