Audit Manager II Financial Crimes Regulatory Findings Validation

2 weeks ago

New York, New York, United States TD Bank, N.A. Full time

Job Summary

The Audit Manager II Financial Crimes Regulatory Findings Validation is responsible for overseeing the planning and execution of audits covering discrete business units or functional corporate areas. This role will also oversee the Audit team performing the audits.

Key Responsibilities

  • Contributes to the Audit planning process for specific businesses/functional units, including audit plans, resource requirements, and budgets.
  • Has overall responsibility for completion of audits. Plans and leads audits and oversees staff working on multiple audits, forming conclusions, communicating scope/findings to business line.
  • Performs testing of critical areas of audit. Performs review of audit documentation. Oversees findings follow-up and issue validation.
  • Ensures audits are executed and completed in accordance with established standards and within prescribed time, budget, and scope parameters to ensure deadlines are met.
  • Oversees a small to medium-sized team assigned to a given audit and provides coaching and feedback on performance throughout the audit.
  • Evaluates internal and external risks for assigned business lines and/or functions utilizing their subject matter expertise.
  • Acts as primary contact with management regarding audit scope, findings, and status.

Requirements

  • Bachelor's degree required.
  • Advanced degree preferred.
  • 8+ years related experience required.
  • PC skills (MS Office Suite).
  • Excellent oral and written communication skills.
  • Advanced critical thinking.
  • Risk-based decision making, problem-solving, and conflict resolution skills.
  • Advanced analytical skills.
  • Travel 35% or more.
  • Work well independently and with others.
  • Complete tasks timely and accurately.
  • Escalate issues and delays quickly.
  • Effectively manage competing priorities for self and others.
  • Advanced awareness of laws and regulations governing the banking industry that impact assigned area.
  • Advanced functional audit knowledge and skills.
  • Relevant certification required.
  • Strong project management skills.
  • Advanced knowledge in designated subject matter areas.
  • Adapt, promote, and champion change.
  • Lead and manage small to medium-sized teams.
  • Assume ownership and promote accountability.
  • Thrive on fast-paced and challenging environment.
  • Banking experience preferred.
  • Advanced skills in building and maintaining relationships within, and external to, audit.
  • Strong ability to develop relationships with the business while conducting audits.
  • Consult assigned lines of business (trusted advisor) for audit.
  • Deliver CSI and follow-up as appropriate.
  • Strong influencing skills.
  • Manage a team of professional resources, and actively develop, recruit, train, coach, and conduct performance assessments for team members.
  • Ensure resources are effectively utilized to achieve target utilization rates.
  • Accountable for promoting recognition in the team and division.
  • Engage team members in stretch assignments within the team and at the division and/or TD level.
  • Keep team members informed.
  • Demonstrate TD leadership core values.
  • Deliver effective presentations/training at the division level, industry conferences, workshops, etc.
  • Provide successful onboarding and orientation to new hires.

Preferred Experience

  • CAMS, CFE certification.
  • Financial Crimes/AML Audit experience.

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