TD Securities · 4 hours ago
Senior Audit Manager (U.S.) - Corporate Functions Technology
New York, NY
Full-time
Hybrid
Senior Level, Lead/Staff
$119K/yr - $194K/yr
10+ years expTD Securities is one of the world's leading global financial institutions, and they are seeking a Senior Audit Manager to lead a diverse audit team and provide strategic advice to the leadership team. The role involves overseeing audit engagements, managing team performance, and ensuring compliance with internal policies and regulatory requirements.
BankingFinanceFinancial Services
Responsibilities
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope
People Manager role that generally manages a team of Audit professionals / specialists
Strategic advisor to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas
Facilitates key strategic audit discussions and provide thought leadership to executives
Sets operational team direction and collaborate with others to execute on common goals
Focuses on long term planning for functional area
Ability to process and handle confidential information with discretion
Develops, communicates and implements a holistic strategy for audit area of expertise in support of and integrated with the overall audit strategy
Oversees / leads / manages and plans audit engagement work activities to ensure adequate risk coverage which may require alignment across multiple areas
Review of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
Completes L2 reviews / sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
Acts as lead audit advisor to management and respective teams for area of specialization. Reports on emerging trends, identifying issues and opportunities and recommending action to senior management
Acts as a strategic audit advisor by providing counsel and guidance on audit issues. Leads relationships with key enterprise partners and interface with respective leadership team to effectively manage own audit area and clarify scope of accountabilities while influencing and aligning others as needed
Ensures an integrated and aggregated view of all related activities across the overall function providing escalations, recommendations, and decision support to leadership
Forecasts initiatives and demand, and coordinates prioritization of the portfolio / initiatives with key stakeholders
Provides functional / business level communications to ensure messages to stakeholders and/or leaders are consistent, appropriate and aligned to business strategies and executive management direction
Leads the team in the development and/or integrated implementation of policies / processes / procedures / changes across multiple audit areas
Ensures team adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies for their business area
Leads relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements
Supports team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders and audit management where required
Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
Identifies, mitigates and reports on risk issues per enterprise policy / guidelines and ensures appropriate escalation processes are followed
Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations
Oversees or leads the facilitation and/or implementation of own internal audit action/remediation plans to address performance / risk / governance issues
Responsible for management of the overall team(s) providing both leadership and guidance
Sets targets and objectives for the team, and deliver results
Grows team expertise to align with enterprise demand and the Bank's direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
Fosters an environment / culture that encourages productivity, innovation, process improvement, teamwork and a high level of professionalism
Co-ordinates necessary resources to ensure completion of Audit assignment by deadlines
Provides coaching, development, succession, recruitment, resource management and overall team leadership for team members and provide regular input into team members’ assessment of performance and development plans
Prioritizes and manages own workload in order to deliver quality results and meet timelines
Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues / points of interest
Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
Establishes effective relationships across multiple business areas
Participates in knowledge transfer within the team and business units
Supports and manages teams through change
Is a brand ambassador for Internal Audit both internally to the bank and externally
Qualification
Required
Undergraduate degree required
10+ years of relevant experience
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
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