Senior Audit Manager

Work Location:

Hours:

Line of Business:

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

This role supports both Non Financial and Financial Risk audit portfolios across Europe & Asia Pacific regions.

Provide specialized in-depth subject matter expertise and may act as a specialized resource on audits. May be responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. Lead and/or provide supervisory oversight to audits and related engagements projects/initiatives and ensure completion.

CUSTOMER

• • Contribute to the strategic direction of the audit function and play a key role in the development and implementation of programs
  • Plan, lead / manage and/or oversee audit activities requiring alignment across multiple areas, and ensure audits are executed and completed in accordance with established standards and within prescribed parameters
  • Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
  • Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area 
  • Provide 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

• Act as lead audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management
• Act as a strategic audit advisor by providing counsel and guidance on audit issues.  Lead 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
• Ensure an integrated and aggregated view of all related activities across the overall function providing escalations, recommendations, and decision support to leadership.
• Forecast initiatives and demand, and coordinate prioritization of the portfolio/ initiatives with key stakeholders.
• Provide functional / business level communications to ensure messages to stakeholders and/or leaders are consistent, appropriate and aligned to business strategies and executive management direction

• • Facilitate key discussions and provide thought leadership to executive audience
  • Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas

SHAREHOLDER

• Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve operational efficiencies for their business area
• Lead relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements.
• Support the team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank.
• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders and audit management where required
• Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
• Identify, mitigate and report on risk issues per enterprise policy / guidelines and ensure appropriate escalation processes are followed

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

EMPLOYEE / TEAM

• Provides thought leadership and/or industry knowledge for own area of expertise
• Facilitate key strategic audit discussions and provide thought leadership to executives
• 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
• Foster an environment / culture that encourages productivity, innovation, process improvement, teamwork and a high level of professionalism
• Collaborate with the broader risk audit team regarding necessary resources to ensure completion of Audit assignment by deadlines.
• Prioritize and manage workload in order to deliver quality results and meet timelines
• Support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest

• • Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency
  • Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services
  • Participate in knowledge transfer within the team and business units.
  • Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits

BREADTH & DEPTH

• • Accountable for a significant audit area (risk management) that typically has enterprise wide or broad functional / business impact or accountability
  • Require enterprise or functional expert, requiring broad and deep specialized knowledge at the enterprise level for risk management
  • May lead and/or provide senior supervisory oversight to very complex audits and ensure completion
  • Undertake and complete 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
  • Position typically deals with senior/executive management
  • May manage and prioritize concurrent multiple projects at a given time
  • Support operational team direction and collaborate with others to execute on common goals
  • Focus on long term planning for functional area
  • Ability to process and handle confidential information with discretion.
  • Reports to an executive role

EXPERIENCE & EDUCATION

• • Undergraduate degree required
  • 10+ years of relevant experience

• Experience or knowledge of Financial and/or Non Financia Risk is considered an asset.

Who We Are

TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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 require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.