TD Securities · 1 day ago
Internal Audit - Business Management Specialist
Mount Laurel, NJ
Full-time
Onsite
Senior Level
$87K/yr - $139K/yr
7+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Business Management Specialist for their Control Remediation and Quality Assurance function. The role involves maintaining testing standards, conducting quality assurance, and ensuring the successful remediation of regulatory findings.
BankingFinanceFinancial Services
Responsibilities
Maintain the Practice/Methodology and Testing CoE in coordination with the Head of CRQA Review, Challenge, Methodology & Testing
Creates and maintains Testing standards for the first and second line testing teams to follow
Conduct testing quality assurance over first and second line testing teams; ensuring consistency and quality of the testing teams' work
Partners with the CRQA Review and Challenge Coordinator Lead and Advisors
Provide guidance for testing that needs to be performed through identification of best practices and lessons learned
Provides thematic testing result outcomes and modify testing methodology as needed through engagement with stakeholders and other key partners
Drives efficiency and effectiveness, through scale up and analytics of testing activities
Works autonomously and accountable for acting as a lead within a specialized business management function and may provide work direction to others
Provides seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members
Scopes of role may have enterprise impact
Focuses on short to medium - term issues (e.g. 6-12 months)
Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
Oversees and/or independently performs tasks from end to end
Contributes to the strategic direction of the business management function and play a key role in the development and implementation of strategies in support of the overall business strategy
Plans, leads / manages and/or oversees a diverse set of work activities requiring alignment across multiple areas
Leads / manages the integrated implementation of policies / processes / procedures / changes in across multiple functional areas
Provides direction and/or input to complex, wide ranging enterprise or cross-function / business projects/initiatives as a subject matter expert and where necessary participates in identifying, designing and testing solutions and supporting the implementation
Facilitates key discussions and provides thought leadership to executive audience (output is roadmap and/or strategic plan/ deliverables/frameworks/ short to long term goals etc.)
Leads partner to management / leadership and respective teams for area of specialization with industry, external and internal, enterprise and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management
Works effectively with multiple teams across a broad spectrum of initiatives and functional domains, influencing others as needed
Adheres to enterprise frameworks and methodologies that relate to business management activities for own area
Actively manages relationships with corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
Assesses / identifies key issues and escalate to appropriate levels and relevant stakeholders where required
Maintains a culture of risk management and control, supported by effective processes and sound infrastructure an in alignment with risk appetite
Ensures business operations are in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals, and physical control of assets)
Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations
Leads relevant governance meetings or committees and related deliverables / outcomes
Leads / facilitates and/or implements action/remediation plans to address performance/risk/governance issues
Provides thought leadership and/or industry knowledge for own area of expertise
Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
Works effectively as a team, supporting other members of the team in achieving business objectives and providing client services
Participates in knowledge transfer within the team and business units
Qualification
Required
Undergraduate degree
7+ years relevant experience
Preferred
Preferably experience with third line or controls/remediation testing teams
Experience establishing and implementing effective Regulatory policies, strategies and plans that effectively support the financial environment
Highly organized, with demonstrated ability to develop, analyze, improve and apply complex policies, processes and procedures
Solid understanding of Regulatory environment and its role in the business
Effective negotiation and influencing skills
Advanced communication and presentation skills
Can demonstrate work independently and be an individual contributor
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
Company data provided by crunchbase