Audit Manager I – U.S. Compliance AuditThe Audit Manager I – U.S. Compliance Audit is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines for TD Bank's Governance, Risk & Oversight Functions.
The US Consumer Compliance team is primarily responsible for auditing US Consumer Compliance regulations (including but not limited to UDAAP, Fair Lending, TILA, HMDA, RESPA, TISA, etc.).The Audit Manager I will participate in the planning, execution, and documentation of moderately complex to complex audits/projects to ensure they are aligned with management expectations and executed timely. This role will mentor staff auditors, manage relationships with senior management, and contribute to the continuous improvement of risk management practices.Depth & Scope:Generally 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 reportResponsible for time and staffing budgets for upcoming auditsResponsible for planning of auditsResponsible for contact with management regarding audit scope, status, and findingsWorks at direction of Audit ManagerMay perform testing procedures for more critical areas of auditsProvides on-the-job training for staffSupervises findings follow up tasks with management and audit staffIs a subject matter expert in at least one area of disciplineWorks independently but receives assistance/coaching from the audit managerMay be Auditor in Charge on an AuditMay participate and/or lead assigned special projectsProvides feedback on staff performance on an audit project basisAssists in providing feedback on completion of staff evaluationsUpdates, revises, and improves existing audit procedures and programsAdds value through consultative interactions with business line managementEducation & Experience:Undergraduate degree required5+ years of related Audit experience requiredPreferred Qualifications:Experience as a former OCC, CFPB, FDIC, FRB, or NCUA compliance examinerBanking industry audit experience with focus on Governance, Risk & Oversight of US Consumer Compliance Function preferredRelevant professional certifications, accounting designations preferred (e.g., CIA, CRCM)Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environmentStrong analytical and problem-solving skillsAbility to work independently and collaboratively in a team environmentProficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit toolsCustomer Accountabilities:Understands and supports the Banks Customer Service StrategyConsiders the impact of advice and decisions on the well-being of the Bank, as well as its customers, its employees and stakeholdersProvides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunityLeads, coaches and models quality service delivery at every interactionSupports the ongoing improvement of the partner/Customer experienceEmployee/Team AccountabilitiesSets appropriate context for the business unit/function to enable optimal performance and alignment to strategySupports the creation of goals and objectives for the business unit/function; Communicates those goals and objectives to the teamBuilds capability support / executes plans to acquire, develops and retains the diverse teams with the skills and experience necessary to realize on current and future business strategiesRole models behaviors consistent with TD's leadership profile, customer and employee experience agendas and risk and control cultureCreates an extraordinary place to work advance and sustain a unique, inclusive culture that reflects TD's diversity agenda, and creates an extraordinary employee experienceLeads, coaches and develops a highly effective team by ensuring ongoing training and performance and development managementPhysical Requirements:Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%Domestic Travel – OccasionalInternational Travel – NeverPerforming sedentary work – ContinuousPerforming multiple tasks – ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds – OccasionalSitting – ContinuousStanding – OccasionalWalking – OccasionalMoving safely in confined spaces – OccasionalLifting/Carrying (under 25 lbs.) – OccasionalLifting/Carrying (over 25 lbs.) – NeverSquatting – OccasionalBending – OccasionalKneeling – NeverCrawling – NeverClimbing – NeverReaching overhead – NeverReaching forward – OccasionalPushing – NeverPulling – NeverTwisting – NeverConcentrating for long periods of time – ContinuousApplying common sense to deal with problems involving standardized situations – ContinuousReading, writing and comprehending instructions – ContinuousAdding, subtracting, multiplying and dividing – ContinuousThe above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required.
The listed or specified responsibilities & duties are considered essential functions for ADA purposes.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 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.