Audit Manager II Financial Crimes

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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:

Job Title: Audit Manager II Financial Crime

Job Level: L 10

Job Type: Non Regulated

Business/Product Group: Internal Audit

Department Name Financial Crime Audit - Sanctions Anti-Bribery Fraud Insider Risk & TDS Financial Crimes

Location: Dublin Ireland

Committee Membership: N/A

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

The position of Audit Manager II Financial Crimes Audit High Risk Areas resides within the Financial Crimes Centre of Excellence of TDs Audit Department. The Audit Manager II is a Financial Crime Professional resilient dynamic trusted advisor and adaptive leader with knowledge and experience with facets of the Financial Crime Risk Management Program including technology data models and emerging technologies such as Artificial Intelligence and Machine Learning.

The position provides support and the management of the Financial Crimes Audit Program which includes conducting audits of the systems of internal controls are effective and compliant with regulatory requirements. You will be accountable and responsible to the assessment of the financial crime internal controls as well as issue management audit planning risk assessment adhoc projects and initiatives.

The Audit Manager II Financial Crimes Audit serves in capacity as Auditor In Charge (AIC) overseeing team of auditors during audit engagements.

The Audit Manager II is a Financial Crime Professional resilient dynamic trusted advisor relationship manager people manager and adaptive leader with knowledge and experience with different facets of the Financial Crime Risk Management Program including Governance Management Reporting Organization Structure and Staffing Policies Standards Procedures Risk Assessment Assessment of New Products and Initiatives Training Regulatory Compliance Management Customer Due Diligence/Know your Customer Enhance Due Diligence Customer Risk Rating including High Risk Customer Types (Money Service Business Politically Exposed Person Heads of International Organizations etc.) Investigations Demarketing Regulatory Reporting (Suspicious Transaction Reports Large Cash Transaction Report Electronic Funds Transfer Reports Terrorist Property Report) Transaction Monitoring Sanctions Record Retention as well as data analytics technology data models and emerging technologies such as Artificial Intelligence and Machine Learning.

Specific Responsibilities:

• Assess controls policies and procedures to prevent detect and mitigate financial crimes such as fraud money laundering Sanctions evasion and bribery and corruption.
• Conduct risk assessments review regulatory compliance and evaluate internal controls to ensure adherence to legal and industry standards.
• Collaborate with compliance risk and legal teams to recommend improvements and mitigate financial crime risks.

CUSTOMER

• Support the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Participate in audit engagements across multiple areas helping ensure audits are conducted in line with established standards and timelines.
• Execute the development of Audit Planning Memorandum (APM) Process Risk and Control Matrix (pRCM) Findings Grid and Audit Report.
• Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs test scripts test results grid evidence uploads)
• Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
• Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders senior management and external auditors for specific and/or overall Audit area
• Contribute to audit initiatives by providing input and assisting in the design and testing of solutions as well as supporting implementation efforts.
• Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas
• Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends identifying issues and opportunities and recommending action to senior management.
• Facilitate key discussions and provide thought leadership to executive audience

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 their 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

• Provides thought leadership and/or industry knowledge for own area of expertise
• Encourage 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 stakeholders services
• Participate in knowledge transfer within the team and business units.
• Contribute to the overall performance management process by providing coaching and input into team members assessment on assigned audits

BREADTH & DEPTH

• Work autonomously and accountable for acting as a lead within a specialized audit practice area and 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.
• 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 required
• 7 years of relevant experience
• Strong background in Financial Crime Regulations for the Region
• Certifications such as CAMs CFE CGSS CAFS or regional equivalent
• Strong knowledge of the Financial Crimes regulations (includes AML ATF and sanctions) FATF recommendations AML/ATF and sanctions frameworks emerging risk trends typologies Insider Risk Fraud Anti-Bribery and Anti-Corruption.
• Knowledge of Financial Crimes Governance Reporting Regulations Regulatory Compliance Management Policy Standards Procedures Customer Due Diligence Know Your Customer Enhance Due Diligence Customer Risk Rating Investigations Sanctions Money Service Business Politically Exposed Person Heads of International Organizations High Risk Customer Types Regulatory Reporting (Large Cash Transaction Reports (LCTRs) Electronic Funds Transfer Reports (EFTRs) Terrorist Property Reports (TPRs) Suspicious Transaction Reports (STRs)) and Transaction Monitoring.
• Experience and proficiency in audit monitoring and testing quality assurance quality control.
• Strong communication interpersonal and people management skills project management and managing competing priorities.
• Ability to write and review audit findings and report

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

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 strive to make every interaction product and experience remarkably human and refreshingly simple for 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 foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

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.