Audit Manager II

Work Location:

Hours:

Line of Business:

Pay Details:

Were committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.

Job Description:

Audit Manager II

Position Summary: (Overview of key purpose and accountability of the role)

The regional Internal IT Audit team based Dublin is responsible for performing operational internal IT audits within TD Securities in Europe/Asia Pacific whilst also supporting the broader Internal IT Audit team globally.

Specific Responsibilities:

Execute audits for an assigned business function or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity. Manages/leads a number of moderately complex to complex audits and has responsibility for completion of the audit.

KEY ACCOUNTABILITIES

CUSTOMER

• Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion
• Develop/contribute to the audit planning process for specific audits ensuring appropriate programs and risk assessments are completed accordingly.
• Manage the ongoing audit communications process with the client during and subsequent to the audit.
• Present objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards including presentation of findings and recommendations to client and audit management.
• Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
• Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization.
• Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks.

SHAREHOLDER

• Adhere to internal policies / procedures enterprise frameworks and methodologies and applicable regulatory guidelines contribute 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.
• Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
• Keep abreast of emerging issues trends and evolving regulatory requirements and assess potential impacts to the Bank
• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required
• Maintain a culture of risk management and control supported by effective processes and sound infrastructure in alignment with risk appetite
• Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations

EMPLOYEE / TEAM

• Continuously enhance knowledge / expertise in own area
• Support a positive work environment that promotes service to the business quality innovation and teamwork and ensure timely communication of issues/ points of interest.
• Identify and recommend opportunities to enhance productivity effectiveness and operational efficiency.
• Work effectively as a team supporting other members of the team in achieving business objectives and providing client services.
• Participate in knowledge transfer within the team and business units.
• Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.

BREADTH & DEPTH

• Work autonomously and accountable for acting as a lead within a specialized audit practice area and may provide work direction to others
• Provide 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
• Undertake and complete 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
• Generally reports to a Senior Audit Group Manager or executive role

EXPERIENCE & EDUCATION

• Undergraduate degree in Computer Sciences Information Technology Accounting or related field.
• 7 years of IT audit/IT risk management experience
• IT Audit certification such as CISA is preferred.
• IT internal audit experience essential although consideration will also be given to candidates with other relevant/exceptional experience.
• Strong understanding of technology risk frameworks relevant regulatory requirements and industry best practices.
• Experience in leading audits that cover IT General Controls IT Application Controls IT Projects Systems Development Lifecycle IT Governance processes IT Risk Management processes Operating Systems and Databases.
• Relevant knowledge/experience of Capital Markets is a plus
• Effective time management skills and ability to meet tight deadlines.
• Strong communication skills (oral and written) including effective report writing skills
• Strong interpersonal organizational and relationship management skills.
• Ability to work independently and in teams and to manage competing priorities.
• Demonstrate TD leadership core values.

Risk Management Responsibilities:

• Responsible for identifying and reporting Operational Risk Events in accordance with policy
• Responsible along with all colleagues to contribute in a positive way to TDGFs reputation and the management of Reputational Risk. Every employee is expected and required to follow ethical practices at all times including compliance with applicable policies legislation and regulations and support positive interactions with TDGFs stakeholders including clients industry bodies industry participants public bodies regulators and vendors.
• Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function

Regulatory Requirements: (CF role holders)

You must observe proper standards of market conduct. It is your responsibility to demonstrate that you take reasonable steps to be fully aware of understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business. You will promptly report to your supervisor(s) or manager(s) any instances in which you are aware of any violation or possible violation of such regulatory requirements by yourself or others.

In particular as a Controlled Function for the purposes of the CBIs Fitness and Probity Regime (F&P) you must be aware of and comply with your obligations under the regime.

The F&P Standards require that a person must be:

• Competent and capable;
• Act honestly ethically and with integrity; and
• Be financially sound.

Central Bank of Ireland Conduct Standards

In addition to the responsibilities set out in this job description as well as TDs own policies and procedures (see below) you required to comply at all times with the CBI Conduct Standards. The following Conduct Standards apply to you:

Common Conduct Standards:

• Acting with Honesty and Integrity
• Acting with Due Care and Diligence
• Co-operating in Good Faith and Without Delay
• Acting in the Best Interests of Customers and Treating Them Fairly andProfessionally
• Operating in Compliance with Standards of Market Conduct and Trading VenueRules

TD Policy Requirements:

It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you your business or other businesses for which you have any level of responsibility.

It is your responsibility to read understand and comply with TDs Code of Conduct and Ethics (Code) and corresponding regulations. The Code establishes the standards that govern the way we deal with each other our customers shareholders governments regulators suppliers competitors the media and the public at large. You will be notified of changes to policies in a timely manner through announcements and/or intranet updates.

You must act with integrity and due skill care and diligence in carrying out your duties. Your actions should always be able to satisfy high standards of scrutiny.

Management should be kept fully informed at all times of all Regulatory and Compliance issues. You must deal with TD Management Compliance regulators and all control functions in an open and cooperative way and must disclose appropriately any information which TD Management Compliance regulators or control functions would reasonably expect to know.

You must ensure that you are fully aware of your management reporting lines and escalation procedures.

If you are a Manager/Supervisor you are also responsible for ongoing and effective supervision of the employees under your direction and ensure their adherence to regulatory requirements. You will promptly report to TD Management and Compliance any violation or possible violation of such regulatory requirements identified as part of your supervisory responsibilities.

You must take reasonable steps to demonstrate that you exercise due skill care and diligence in managing and/or delegating your responsibilities outlined appropriately.

It is your responsibility to be fully aware of:

• The scope of your management responsibilities.
• The TD Policies and regulatory requirements pertaining to the business/activities you are managing.
• The competence level of the staff if any reporting to you.
• The control limits and your ability if any to delegate them within your business.
• Demonstrate that you receive adequate and appropriate management reporting.

Appendix I: TD Framework & Culture:

The TD Framework is the foundation that helps guide the behaviour and shape the culture of the business. It outlines the vision purpose and the shared commitments that will help TD grow into the future.

Simply its about what they set out to do every day and how theyll get there. The TD Framework is inspiring yet easy to incorporate into the work they do. Most importantly it has no borders the Framework applies to everyone at TD no matter what business level or location.

The shared commitments are the behaviours that differentiate them and help guide the way they run the business grow as leaders and support their colleagues. They use these commitments throughout the Bank to help set objectives evaluate performance reward and recognize their colleagues and build the skills and capabilities they need to continue to succeed as an organisation.

At TD they are committed to fostering an inclusive accessible environment where all employees and customers feel valued respected and supported. They are dedicated to building a workforce that reflects the diversity of their customers and communities in which they live and serve.

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 investment we make in our colleagues to help them and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits including medical coverage paid time off career development and reward and recognition programs.

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 require an accommodation for the recruitment / interview process (including alternate formats of materials or accessible meeting rooms or other accommodation) please let us know and we will work with you to meet your needs.