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TD · 3 hours ago

Audit Manager II (US) Capital Management / Treasury

Portland, ME

Full-time

Onsite

Senior Level

$92K/yr - $149K/yr

7+ years exp

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America. They are seeking an Audit Manager II to lead specialized audit practices, oversee complex audits, and ensure compliance with established standards and regulatory requirements.

BankingFinanceFinancial ServicesWealth Management

H1B Sponsor Likely

Responsibilities

Works autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others

Provides seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members

May lead and/or provide supervisory oversight to complex audits and ensure completion

Knowledge of external competition, industry and/or market trends in relation to own function / business

Scope of role may have enterprise impact

Undertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise

May oversee and/or independently perform concurrent multiple audits and related tasks from end to end

Ability to process and handle confidential information with discretion

Supports the development and implementation of audit programs by contributing insights and assisting with planning activities

Participates in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines

Executes the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report

Completes L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)

Oversees / leads audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy

Oversees / leads the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area

Contributes to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts

Leads / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas

Acts as the audit lead or 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

Facilitates key discussions and provide thought leadership to executive audience

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 control weaknesses / failures, potential opportunities to improve operational efficiencies for their business area

Actively manages relationships with business lines / corporate and/or control functions and ensures 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 escalates to appropriate levels and relevant stakeholders where required

Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite

Participates in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provides guidance for complex situations

Provides thought leadership and/or industry knowledge for own area of expertise

Encourages 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 stakeholders services

Participates in knowledge transfer within the team and business units

Contributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits

Qualification

Audit expertiseRisk managementRegulatory complianceAudit program developmentStakeholder communicationThought leadershipTeam leadershipProblem-solving

Required

Undergraduate degree required

7+ years of relevant experience