TD · 17 hours ago
Senior Audit Manager (US) - Financial Crimes - AML
New York, NY
Full-time
Onsite
Senior Level, Lead/Staff
$119K/yr - $194K/yr
10+ years expTD is one of the world's leading global financial institutions, and they are seeking a Senior Audit Manager to provide specialized in-depth subject matter expertise in financial crimes and audit processes. The role involves leading audits, managing complex audit initiatives, and contributing to the strategic direction of the audit function.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Accountable for a significant audit area that typically has enterprise wide or broad functional / business impact or accountability
Requires enterprise or functional expert, requiring broad and deep specialized knowledge at the enterprise level for certain teams
May lead and/or provide senior supervisory oversight to very complex audits and ensure completion
Undertakes and completes a variety of complex audit initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processes
Advanced knowledge of external competition, industry and/or market trends in relation to own function / business
Typically deals with senior/executive management
May manage and prioritize concurrent multiple projects at a given time
Supports operational team direction and collaborates with others to execute on common goals
Focuses on long term planning for functional area
Ability to process and handle confidential information with discretion
Contributes to the strategic direction of the audit function and play a key role in the development and implementation of programs
Plans, leads / manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters
Oversees / leads audits and/or executes 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
Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation
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 assesses 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 / provide 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 ensures 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
Required
Undergraduate degree required
10+ years of relevant experience
Preferred
Experienced AML Audit leader
Experience managing a team with two or more direct reports
Audit experience reviewing regulatory supervisory letters and management responses and action plans to draft audit test plans
Experience working on team to execute audits and manage stakeholders
Experience documenting workpapers and reviewing
Experience working to meet tight deadlines for on time delivery
Experience following test steps to provide independent assurance regarding 1LOD and 2LOD controls
Experience applying auditing methods and logic during walk-through meetings to determine RFIs from management
Experience with audit methodology and following sampling guidance and requirements
Experience in Data analytics
ACAMS preferred, but not required
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
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
H1B Sponsorship
TD 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
2022 (1)
2020 (6)
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2026-01-24
2026-01-24
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