Audit Manager I

TD Bank

4.1

(21)

London, United Kingdom

Why you should apply for a job to TD Bank:

  • 4.1/5 in overall job satisfaction
  • 4.8/5 in supportive management
  • 81% say women are treated fairly and equally to men
  • 76% would recommend this company to other women
  • 76% say the CEO supports gender diversity
  • Ratings are based on anonymous reviews by Fairygodboss members.
  • We offer flexible working options to help you manage the critical roles you play in your personal life as well as your professional one
  • We emphasize a culture of diversity, empower employees with diverse abilities & ensure they have the tools & support they need to thrive
  • We encourage our employees’ volunteer efforts and actively look to support community initiatives that can involve the TD team
  • #R_1352150

    Position summary

    a), TD Direct Investing and TD Insurance

    • U.S. Retail including TD Bank, America's Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD's investment in TD Ameritrade

    • Wholesale Banking including TD Securities

    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.

    Position Overview

    Department Overview

    The TD Securities Europe and Asia regional audit team, based in London and Dublin, is responsible for performing operational audits within TD Securities in Europe/Asia Pacific, whilst also supporting the broader TDS Audit team globally as required.

    Risk-based audit coverage includes front office business activities and relevant support functions, including middle office, back-office operations, Compliance, AML, Finance and HR.

    Job Description Summary
    Execute audits for an assigned business, function, or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity. Manages/leads a number of moderately complex audits and has responsibility for completion of the audit.

    KEY ACCOUNTABILITIES

    CUSTOMER

    • Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion

    • Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly.

    • Manage the ongoing audit communications process with the client during and subsequent to the audit.

    • Present 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 management.

    • Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.

    • Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization.

    • Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks.

    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 control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area.

    • May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level.

    • Prioritize and manage own workload to deliver quality results and meet assigned timelines.

    • Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate.

    • Develop and deliver audit findings, presentations / communications to management or broader audience.

    • Contribute to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.

    EMPLOYEE / TEAM

    • Continuously enhance knowledge / expertise in own area 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.

    • Establish effective relationships across multiple businesses.

    • Participate in knowledge transfer within the team and business units.

    • Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.

    BREADTH & DEPTH

    • Work as an audit subject matter expert and may coach and educate others.

    • Oversee and/or independently perform audits from end to end.

    • May lead moderately complex audits and have responsibility for completion of the audit.

    • Undertake and complete a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise.

    • Ability to process and handle confidential information with discretion.

    • Generally, reports to an Audit Group Manager or Senior Audit Group Manager role

    • Execute audits for an assigned business, function, or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity.

    • Manages/leads a number of moderately complex audits and has responsibility for completion of the audit.

    EXPERIENCE & EDUCATION

    • Undergraduate degree or relevant professional certifications, accounting designations, or equivalent

    • Internal audit experience essential, although consideration will also be given to candidates with other relevant/exceptional experience.

    • Relevant knowledge/experience of Capital Markets.

    • Financial accounting designation (CA, CPA) or other relevant qualification, i.e., MBA, CFA;

    • Degree educated.

    • Relevant regulatory knowledge.

    • Analytical skills in assessing risk, issues and critical thinking/challenging the status quo.

    • Effective time management skills and ability to meet tight deadlines.

    • Strong communication skills (oral and written).

    • Strong interpersonal, organizational and relationship management skills.

    • Ability to work independently and in teams, and to manage competing priorities.

    • Participate in/actively support departmental initiatives.

    • Demonstrate TD leadership core values.

    Shared Commitments

    Executives promote adherence to TDBG's vision and purpose to be the better bank, and enrich the lives of customers, communities and colleagues. As part of the general management of their function, Executives are accountable to deliver against TD's five shared commitments:

    • Think like a customer; provide legendary experiences and trusted advice

    • Act like an owner; lead with integrity to drive business results and contribute to communities

    • Execute with speed and impact; only take risks we can understand and manage

    • Innovate with purpose; simplify the way we work

    • Develop our colleagues; embrace diversity and respect one another

    Inclusiveness

    At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. 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

    Who We Are

    TD 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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

    TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

    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. 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 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.

    Why you should apply for a job to TD Bank:

  • 4.1/5 in overall job satisfaction
  • 4.8/5 in supportive management
  • 81% say women are treated fairly and equally to men
  • 76% would recommend this company to other women
  • 76% say the CEO supports gender diversity
  • Ratings are based on anonymous reviews by Fairygodboss members.
  • We offer flexible working options to help you manage the critical roles you play in your personal life as well as your professional one
  • We emphasize a culture of diversity, empower employees with diverse abilities & ensure they have the tools & support they need to thrive
  • We encourage our employees’ volunteer efforts and actively look to support community initiatives that can involve the TD team