TD Securities · 1 month ago
Senior Auditor - Compliance (US)
Mount Laurel, NJ
Full-time
Onsite
Mid, Senior Level
$64K/yr - $104K/yr
3+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Senior Auditor for U.S. Compliance Audit. The role involves executing and leading audit engagements, evaluating internal controls, and ensuring compliance with regulatory guidelines.
BankingFinanceFinancial Services
Responsibilities
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
Qualification
Required
Undergraduate degree required
3+ years of related experience
Preferred
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
Benefits
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
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
2026-01-14
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