Senior Audit Manager (US) Securities and Wealth Compliance

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:

The Senior Audit Manager leads a team of audit professionals and provides specialized in-depth subject matter expertise with respect to Securities and Wealth Compliance including the regulatory requirements of FINRA SEC CFTC etc. May also act as a specialized resource on other audits. May be responsible for contributing to the planning risk assessment and/or execution of audits and/or related processes specific to securities and wealth compliance. Leads and/or provides supervisory oversight to deliver on-time audits and related engagements projects/initiatives including issues and regulatory validations.

Depth & Scope:

• 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

Education & Experience:

• Undergraduate degree required
• 10 years of relevant experience

Preferred Qualifications:

• Relevant certification required (CIA and CRCM preferred)
• Experienced people manager leading a compliance audit team
• Experience auditing securities broker-dealer and/or wealth compliance
• Excellent oral and written communication skills
• Advanced level of critical thinking risk based decision making problem solving and conflict resolution skills
• Works well independently and with others
• Completes tasks timely and accurately
• Escalates issues and delays quickly
• Effectively manages competing priorities for self
• Advanced awareness of laws and regulations governing the banking industry that impact assigned area specifically securities broker-dealer and/or wealth compliance
• Advanced functional audit knowledge and skills
• Knowledge in subject matter areas specifically consumer financial regulations
• Proficient conflict resolution skills
• Adapts promotes and champions change
• Assumes ownership and promotes accountability
• Thrives in fast-paced and challenging environments
• Advanced skills in building and maintaining relationships within and external to audit
• Strong ability to develop relationships with the business while conducting audits
• Consults assigned lines of business (trusted advisor)
• May manage a team of professional resources indirectly and actively trains /coaches audit staff
• Proficient influencing skills
• PC skills (MS Office Suite)

Customer Accountabilities:

• 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

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 cross-functional / 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 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

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.