Work Location:

United States of America

Hours:

40

Line of Business:

Audit

Pay Detail:

$110,000 - $130,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role

Job Description:

As an Audit Manager I, you will provide subject matter expertise in executing audits of TD Securities and other applicable Lines of Business. in addition, you may lead moderately complex audits and be responsible for their completion. You will have the opportunity to explore capital markets and investment banking processes, here at TD, and help provide value- added recommendations.

Provide expertise in planning and execution of audits based on the established audit plans in alignment with applicable policies and regulatory guidelines in a timely fashion.

Lead the planning process for assigned audits while ensuring the completion of appropriate programs and risk assessment to mitigate risks and improve effectiveness across the business.

Review and identify failures in internal processes and recommend improvements to enhance operations.

Support the audit opinion in alignment with internal controls and professional audit standards to present findings and recommendations to client and audit management.

Manage and/or execute follow-up of findings arising from internal audits and regulatory reviews as per applicable standards.

Stay knowledgeable about emerging trends and developments related with business, analytical tools and techniques to deliver quality results within tight timeframes.

Build positive, diverse and open work environment by continually improving processes, sharing knowledge and maintaining good working relationships to achieve common goals.

Preferred Qualifications:

Over 5 years of relevant experience with undergraduate degree or relevant professional certifications, accounting designations, or equivalent education. CPA, CFA or CRM designation is an asset.

Experience in working in/ auditing Capital Markets and Investment Banking is an asset.

Ability to multi-task and work on projects that may require integration of cross functional processes and/ or cross functional Teams.

Detail oriented with strong analytical skills and ability to think "On your Feet" and adapt in a fast-changing environment.

Strong written and verbal communication skills and ability to interact clearly and effectively with stakeholders at all levels of the organization.

Aptitude in exercising sound judgment while making decisions and handling confidential information with discretion.

Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applications.

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provides expertise on audits ranging in complexity. This role may lead moderately complex audits and have responsibility for completion of the audit.

Depth & Scope:

Works as an audit subject matter expert and may coach and educate othersOversees and/or independently performs audits from end to endMay lead moderately complex audits and have responsibility for completion of the auditUndertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertiseAbility to process and handle confidential information with discretionGenerally leads a team focused on assigned audit and generally assumes the lead position on the audit, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report Responsible for time and staffing budgets for upcoming auditsResponsible for planning of auditsResponsible for contact with management regarding audit scope, status, and findingsMay perform testing procedures for more critical areas of auditsProvides on-the-job training for staffSupervises findings follow up tasks with management and audit staffMay be Auditor in Charge on an Audit May participate and/or lead assigned special projectsProvides feedback on staff performance on an audit project basis

Education & Experience:

Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required5+ years of relevant experienceProficient knowledge of audit standards, procedures, laws, rules and regulationsKnowledge of current and emerging trendsSkilled in mentoring/coaching othersSkilled in using computer applications including MS OfficeAbility to communicate effectively in both oral and written formAbility to work collaboratively and build relationshipsAbility to work successfully as a member of a team and independentlyAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesStrong knowledge of laws and regulations governing the banking industry Certification highly preferred or willingness to pursue certificationTravel 25% or more

Customer Accountabilities:

Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completionDevelops/contributes to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordinglyManages the ongoing audit communications process with the client during and subsequent to the auditPresents objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit managementExecutes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policyProvides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specializationLeads/supports the audit engagement and risk assessment process to identify key risks and identifies opportunities where controls are missing or are inadequate to mitigate these risks

Shareholder Accountabilities:

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 own business areaMay develop and provide complex reporting, analysis, and assessments at the functional or enterprise levelKeeps current on emerging trends/developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriateDevelops and delivers audit findings, presentations/communications to management or broader audienceContributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility

Employee/Team Accountabilities:

Continuously enhances knowledge/expertise in own areaSupports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interestIdentifies and recommends opportunities to enhance productivity, effectiveness and operational efficiencyEstablishes effective relationships across multiple businessesParticipates in knowledge transfer within the team and business unitsWorks to achieve individual goals and supports other team members in the achievement of team goals and divisional objectives

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.