Sr Audit Group Manager TDS (US)

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Hours:

Line of Business:

Pay Detail:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

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:

The Senior Audit Group Manager leads and develops a team of audit professionals and is responsible for overseeing, planning and executing audits and/or projects of varying complexity and may act as a subject matter expert in own area of expertise.  The Senior Audit Group Manager is accountable to provide guidance, leadership, coaching and development to ensure operational results and professional/personal development objectives are achieved for the overall group.

Depth & Scope:

• 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 greater than 5 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 provides thought leadership to executives
• Highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business lines
• Sets 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
• May participates on or leads various projects/ division initiatives as needed
• Demonstrates TD leadership Core Values
• Recognizes team members' contributions
• Strong presentation skills when delivering training and presentation at the division level, industry conferences, workshops, etc.

Education & Experience:

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required
• 10+ years of relevant experience
• Advanced knowledge of audit standards, procedures, laws, rules and regulations
• Advanced knowledge of risk management environment, standards, regulations and mitigation
• Knowledge of current and emerging trends
• Skilled in managing budgets and resource allocation.
• Skilled in mentoring, coaching and performance management
• Skilled in using computer applications including MS Office
• Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships across teams and functions
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to establish goals and objectives that support the strategic plan
• Ability to contribute to strategic direction of the audit function and provide advice to senior leadership
• Ability to forecast initiatives and demand in order to develop annual strategic audit plan

Customer Accountabilities:

• 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
• Contributes to the risk assessment process to develop the divisional annual plan
• 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 interfaces 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

Shareholder Accountabilities:

• 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

Employee/Team Accountabilities:

• Responsible for management of the overall team(s) providing both leadership and guidance
• Sets targets and objectives for the team, and delivers results
• Grows team expertise to align with enterprise demand and the Bank's direction; assesses team skills and capabilities and continually looks 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
• Coordinates 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 provides regular input into team members’ assessment of performance and development plans
• Prioritizes and manages own workload in order to deliver quality results and meets 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
• Be a brand ambassador for Internal Audit both internally to the bank and externally

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 strive to make every interaction, product and experience remarkably human and refreshingly simple.  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. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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. 

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

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

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