Senior Auditor - Compliance (US)

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$63,540 - $104,020 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.

Line of Business:

Audit

Job Description:

The Senior Auditor – 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 Bank's Governance, Risk & Oversight Functions. The US Consumer Compliance team is primarily responsible for auditing US Consumer Compliance regulations (including but not limited to UDAAP, TILA, HMDA, RESPA, EFTA, etc.) and sufficiency of systems, processes, and oversight to support regulatory compliance. This role supports audit engagements through evaluating, documenting, and testing the design and operating effectiveness of internal controls under manager guidance. The Senior Auditor is responsible for execution of control testing, identification of findings, and delivery of high-quality audit workpapers and reporting.

Depth & Scope

• Performs assigned test steps for audits, findings follow-up, special projects; form conclusions and document work in database.
• Communicates and discusses audit report with business line.
• Participates in planning of audits.
• Receives coaching sessions, feedback discussions from in-charge manager.
• Obtains appropriate training.
• Makes discretionary decisions and applies professional judgment when assessing control.  
• Provides on-the-job training for team members.
• Provides recommendations to management regarding the control environment.
• Other responsibilities as required.
• Participates in post-audit critique meeting.
• Developing skills to build and maintain relationships within, and external to, audit.
• Demonstrates TD leadership Core Values.
• Recognizes team members' contributions.
• Participates in, and actively supports implementation of department improvement initiatives.
• Developing skills in building and maintaining relationships within and external to audit.

Education & Experience:

• Undergraduate degree required
• 3+ years of related experience

Preferred Qualifications:

• Banking industry audit experience with focus on Governance, Risk & Oversight Function preferred
• Relevant professional certifications (e.g., CIA, CPA, CRMA) or progress towards preferred
• 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

Accountability:
EEO Code Description

• Most jobs require bachelor and graduate degrees, and/or professional certification, or comparable experience.
• This position does not have people management responsibilities.

Customer Accountability

• Understand and support the Bank's Customer Service Strategy.
• Consider the impact of decisions on the well-being of TD, its Customers and stakeholders.  
• Provide the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity. Model quality service delivery at every interaction.
• Lead and contribute to the ongoing improvement of the partner / Customer experience.

Employee and Team Accountability

• Be engaged in advancing and sustaining a unique, inclusive culture that reflects TDs diversity agenda, and create an extraordinary employee experience.
• Participate fully as a member of the team and contribute to a positive work environment.
• May provide leadership, training, and guidance to other team members.
• Ensure ongoing communication with the team on the status / progress