Audit Manager II TD Securities

Work Location:

Hours:

Line of Business:

Pay Detail:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience jobrelated knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Required: Proven experience in leading audits and control testing within the audit or control functions of financial institutions.

Preferred: Solid understanding of financial products including fixed income credit rates and equities and experience with Securities and Commodities laws rules and regulations as they pertain to U.S. brokerdealers.

The Audit Manager II provides specialized indepth subject matter expertise and is responsible for contributing to the planning risk assessment and/or of audits and/or related processes. The Audit Manager II may act as a specialized resource on audits based on subject matter expertise. This role leads and/or provides supervisory oversight to complex audits and ensures completion.

Depth & Scope:

• Works autonomously and accountable for acting as a lead within a specialized audit practice area and may provide work direction to others
• Provides seasoned specialized knowledge advice and/or guidance to various stakeholders and team members
• May lead and/or provide supervisory oversight to complex audits and ensure completion
• Advanced knowledge of external competition industry and/or market trends in relation to own function/business
• Scope of role may have enterprise impact
• Undertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
• May oversee and/or independently perform concurrent multiple audits and related tasks from end to end
• Ability to process and handle confidential information with discretion
• Contributes to the Audit planning process for specific businesses/ functional units including audit plans resource requirements and budgets
• Performs testing of critical areas of audit; performs review of audit documentation; oversees findings follow up and issue validation
• Ensures audits are executed and completed in accordance with established standards and within prescribed time budget and scope parameters to ensure deadlines are met
• Evaluates internal and external risks for assigned business lines and/or functions utilizing their subject matter expertise
• Acts as primary contact with management regarding audit scope findings and status

Education & Experience:

• Undergraduate degree or relevant professional certifications accounting designations or equivalent education required
• 7 years of relevant experience
• Advanced knowledge of audit standards procedures laws rules and regulations
• Knowledge of risk management environment standards and regulations
• Knowledge of current and emerging trends
• Skilled in mentoring coaching and performance management
• Skilled in using computer applications including MS Office
• Ability to lead plan implement and evaluate program/project activities to ensure completion of audit
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships across teams and functions
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze organize and prioritize work while meeting multiple deadlines
• Ability to contribute to strategic direction of the audit function and provide advice to senior leadership

Customer Accountabilities:

• Contributes to the strategic direction of the audit function and plays 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 followup 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 client 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 participates 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 provides thought leadership to executive audience

Shareholder Accountabilities:

• 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 crossfunctional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations

Employee/Team Accountabilities:

• 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 client 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

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate government and institutional clients who choose us for our innovation and experience. With more than 6500 professionals operating out of 40 cities across the globe we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues providing trusted advice and industryleading insight extending access to global markets and delivering integrated transaction banking solutions. In 2023 we acquired Cowen Inc. offering our clients access to a premier U.S. equities business and highlydiverse equity research franchise while growing our strong diversified investment bank. We are growthoriented peoplefocused and communityminded. As a team we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental wellbeing 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 wellbeing 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. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process email the TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability or status as a protected veteran.