Audit Manager II (US) Regulatory Management

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:

Internal Audit Regulatory Management is the central point of contact for regulatory matters for the US Internal Audit (IA) Division and is responsible for the overall management of regulatory requests as well as ensuring proper response and remediation tracking of any regulatory findings related to the Division. This position is highly visible and requires frequent interaction with Senior Management (internal and external) and stakeholders to ensure regulatory deadlines are met in all cases.

Accountabilities include but are not limited to the following:

• Facilitate responses to regulatory requests prepares related reporting for internal and external stakeholders and is the primary liaison with these stakeholders.

• Advise and challenge Senior Management on Internal Audit responses.
• Balance the needs of US Internal Audit management teams stakeholders and regulatory authorities.
• Support audit teams for regulatory matters.
• Contribute to Board of Director reporting
• Participate in relevant initiatives/projects.
• Provide recommendations on any Audit methodology and practice changes needed to ensure proper remediation of regulatory matters.
• Provide support for Internal Audit validation of regulatory findings related to lines of business.

Job Requirements

• Exceptional attention to detail quality and organizational skills
• Ability and desire to work in a fast-paced environment and display a sense of urgency in Regulatory requests
• Given the nature of the role the ability to display flexibility given unpredictability of requests and ability to prioritize highly important items frequently
• Strong communication at all levels

• Problem solving
• Effectively work in teams and develop relationships across the Division and with key stakeholders (including Control Process Group (CPG)/US Regulatory Program Management (RPM) and business partners)
• Indirectly manage and support various team members across the Division and share knowledge
• Identify efficiencies in current processes

Preferred skills:

• Regulatory exam management experience
• Risk and Compliance experience
• Project management experience
• 2nd Line of defense QC testing experience
• Issue management experience is beneficial but is not required.
• Audit related experience is beneficial but is not required.

Education & Experience:

• Bachelors degree required
• 7 years related experience required preferably in Risk Management Regulatory or Audit in the financial services industry
• Ability to manage routine initiatives with multiple stakeholder interests to successful completion
• Strong time management skills
• Ability to clearly communicate expected outcomes and influence the decisions and actions of others
• Solid interpersonal skills including demonstration of conflict resolution and relationship building skills
• Proven proficiency in Microsoft Office Suite
• Strong verbal and written communications skills and ability to communicate information clearly to employees and management of assigned business lines
• Strong presentation skills
• Travel may be required

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.

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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.