Audit Exam Specialist

Work Location:

Hours:

Pay Details:

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 job-related 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.

Line of Business:

Job Description:

Department Overview:

The Audit Exam Specialist will perform Internal Audit and Regulatory Exam 1A coordination planning and response activities to support the Commercial Bank. The position is seeking qualified candidates with strong Internal Audit and/or Regulatory Exam process experience as well as a general understanding of Commercial Banking risk and controls and issues management processes.

The above details are specific to the role which is outlined in the general description below.

The Governance & Control Specialist manages a portfolio of governance and control activities for moderately complex or high-risk business or functional area and implements policies/processes and/or initiatives to meet governance and control guidelines. Acts as a technical lead on key control initiatives.

Depth & Scope:

• Highly seasoned professional role requiring substantial business knowledge/expertise in a complex field and knowledge of broader related areas
• Integrates knowledge of the enterprise sub-functions or business lines overarching strategy in developing solutions across multiple functions or operations
• Ability to work collaboratively and build relationships across teams and functions
• Interprets internal/external business challenges and the industry environment recommends course of action and best practices to improve products processes or services
• Acts as a technical expert/lead integrating cross-function understanding within their own field of specialty; may manage team(s) of related specialists
• Leads cross-functional teams or projects with significant resource requirements risk and/or complexity
• Independently manages end-to-end functional programs
• Solves or may lead others to solve complex problems; leads efforts or partners with others to develop new solutions
• Works autonomously as the lead and guides others within area of expertise

Education & Experience:

• Undergraduate degree preferred
• 7 years of relevant experience
• Advanced business understanding and knowledge of risk and control functions
• Advanced knowledge of governance risk and control procedures strategies & tactics
• Knowledge of current and emerging competitor and market trends
• Ability to establish goals and objectives that support delivery execution for multiple teams
• Ability to contribute to the direction of the function and provide advice to the team and delivery leadership
• Ability to lead plan execute and evaluate project activities to ensure completion of initiatives
• Skill in mentoring and performance management
• Skill in using analytical software tools data analysis methods and reporting techniques
• Skill in using computer applications including MS Office and industry standards
• 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 drive team execution
• Ability to exercise sound judgement in making decisions
• Ability to analyze organize and prioritize work while meeting multiple deadlines

Customer Accountabilities:

• Contributes to the strategic direction of the business governance and control function and plays a key role in the development and implementation of risk strategies in support of the overall business strategy
• Develops and documents a comprehensive inventory of processes and controls with clearly-defined owners and roles and responsibilities for each process and control
• Participates in the intake of applicable regulation assessment of impact to the business line and the comprehensive mapping of associated controls to rules and regulations
• Reviews end-to-end processes and controls and connects the dots across issues and control deficiencies across various BUs in order to increase standardization of solutions processes and controls
• Leads the integrated execution of policies/procedures/changes across multiple functional areas
• Provides direction to complex wide-ranging enterprise or cross-function/business projects as a SME identifies risk/provides guidance for complex situations and participates in designing testing and implementation of solutions
• Acts as lead for area of specialization with industry enterprise and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space

Shareholder Accountabilities:

• Ensures programs/policies/practices are well-managed meet business needs/priorities and comply with internal/external requirements
• Exercises discretion in managing communication/correspondence information and all matters of confidentiality
• Leads research projects; supports the development/delivery of materials and presentations to management or broader audience
• Conducts analysis at the functional or enterprise level using results to draw conclusions make recommendations assess the effectiveness of programs policies or practices
• Adheres to enterprise frameworks or methodologies that relate to activities across businesses and functions
• Manages relationships within and across various business lines corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
• Protects the interests of the organization identifies and manages risks and escalates non-standard high-risk transactions/activities as necessary
• Maintains a culture of risk management and control supported by processes in alignment with risk appetite
• Is knowledgeable of and complies with Bank Code of Conduct

Employee/Team Accountabilities:

• Participates as a member of the team supports a positive work environment and ensures timely communication
• Provides leadership as a SME and participates in knowledge transfer within the team/business unit
• Keeps current on emerging trends/developments and grows knowledge of the business related tools and techniques
• Keeps others informed about the status/progress of projects
• Contributes to team development of skills and capabilities through mentorship of others by sharing knowledge and experiences and leveraging best practices
• Contributes to a fair positive and equitable environment
• Acts as a brand ambassador for your business area/function and the Bank

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading writing and comprehending instructions Continuous
• Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:
TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

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 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. 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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email 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 applicant process.