Audit Manager I Consumer Compliance (US)

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 Audit Manager I U.S. Compliance Audit is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines for TD Banks Governance Risk & Oversight Functions. The US Consumer Compliance team is primarily responsible for auditing US Consumer Compliance regulations (including but not limited to UDAAP Fair Lending TILA HMDA RESPA TISA etc.).

The Audit Manager I will participate in the planning execution and documentation of moderately complex to complex audits/projects to ensure they are aligned with management expectations and executed timely. This role will mentor staff auditors manage relationships with senior management and contribute to the continuous improvement of risk management practices.

Depth & Scope:

• Generally leads a team focused on assigned audit and generally assumes the lead position on the audit providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report
• Responsible for time and staffing budgets for upcoming audits
• Responsible for planning of audits
• Responsible for contact with management regarding audit scope status and findings
• Works at direction of Audit Manager
• May perform testing procedures for more critical areas of audits
• Provides on-the-job training for staff
• Supervises findings follow up tasks with management and audit staff
• Is a subject matter expert in at least one area of discipline
• Works independently but receives assistance/coaching from the audit manager
• May be Auditor in Charge on an Audit
• May participate and/or lead assigned special projects
• Provides feedback on staff performance on an audit project basis
• Assists in providing feedback on completion of staff evaluations
• Updates revises and improves existing audit procedures and programs
• Adds value through consultative interactions with business line management

Education & Experience:

• Undergraduate degree required
• 5 years of related Audit experience required

Preferred Qualifications:

• Experience as a former OCC CFPB FDIC FRB or NCUA compliance examiner
• Banking industry audit experience with focus on Governance Risk & Oversight of US Consumer Compliance Function preferred
• Relevant professional certifications accounting designations preferred (e.g. CIA CRCM)
• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment
• Strong analytical and problem-solving skills
• Ability to work independently and collaboratively in a team environment
• Proficient in Microsoft Office Suite (Excel Word PowerPoint) and experience with risk management and audit tools

Customer Accountabilities:

• Understands and supports the Banks Customer Service Strategy
• Considers the impact of advice and decisions on the well-being of the Bank as well as its customers its employees and stakeholders
• Provides the highest level of Customer service when dealing with internal partners vendors or our Customers - WOW at every opportunity
• Leads coaches and models quality service delivery at every interaction
• Supports the ongoing improvement of the partner/Customer experience

Employee/Team Accountabilities

• Sets appropriate context for the business unit/function to enable optimal performance and alignment to strategy
• Supports the creation of goals and objectives for the business unit/function; Communicates those goals and objectives to the team
• Builds capability support / executes plans to acquire develops and retains the diverse teams with the skills and experience necessary to realize on current and future business strategies
• Role models behaviors consistent with TDs leadership profile customer and employee experience agendas and risk and control culture
• Creates an extraordinary place to work advance and sustain a unique inclusive culture that reflects TDs diversity agenda and creates an extraordinary employee experience
• Leads coaches and develops a highly effective team by ensuring ongoing training and performance and development management

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.

#LI-AMCBCorporate

#IN-AMCBCorporate

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 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.

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

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.