Audit Manager I

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Audit

Pay Detail:

$120,000 - $130,000 USD

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 candidate's 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.

Job Description:

. Preferred: Experience with audit validation of regulatory findings, including MRA's.

. Nice to have: Experience with U.S. Anti-Fraud, Securities and Commodities laws, rules, and regulations as they pertain to U.S. broker dealers will be a plus.

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provides expertise on audits ranging in complexity. This role may lead moderately complex

audits and have responsibility for completion of the audit.

Depth & Scope:

• Works as an audit subject matter expert and may coach and educate others
• Oversees and/or independently performs audits from end to end
• May lead moderately complex audits and have responsibility for completion of the audit
• Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise
• Ability to process and handle confidential information with discretion
• 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
• 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
• 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

Education & Experience:

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required
• 5+ years of relevant experience
• Proficient knowledge of audit standards, procedures, laws, rules and regulations
• Knowledge of current and emerging trends
• Skilled in mentoring/coaching others
• Skilled in using computer applications including MS Office
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Strong knowledge of laws and regulations governing the banking industry
•  Certification highly preferred or willingness to pursue certification
• Travel 25% or more

Customer Accountabilities:

• Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion
• Develops/contributes to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly
• Manages the ongoing audit communications process with the client during and subsequent to the audit
• Presents 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
• Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
• Provides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization
• Leads/supports the audit engagement and risk assessment process t