Audit Manager II (US) - Financial Crimes

Overview

Audit Manager II is responsible for providing specialized expertise to support the planning, risk assessment, and execution of audits. This role contributes to the strategic direction of the audit function by aligning audit activities with enterprise risk frameworks and supporting broader audit strategy. The position may lead and/or provide supervisory oversight to complex audits to ensure completion.

Responsibilities

• Act as a lead within a specialized audit practice area; work autonomously and remain accountable for work direction provided to others
• Provide seasoned specialized knowledge, advice, and guidance to stakeholders and team members
• Lead and/or provide supervisory oversight to complex audits and ensure timely completion
• Conduct complex audit projects and initiatives requiring specialist knowledge and/or integration of cross-functional processes within the audit area
• Oversee and/or independently perform concurrent multiple audits and related tasks from end to end
• Handle confidential information with discretion
• Support the development and implementation of audit programs through insights and planning support
• Participate in audit engagements across multiple areas to ensure audits follow established standards and timelines
• Develop audit deliverables, including:
  • Audit Planning Memorandum (APM)
  • Process Risk and Control Matrix (pRCM)
  • Findings Grid
  • Audit Report
• Complete L1 reviews/sign off on audit activities (e.g., walkthroughs, test scripts, test results, grid, evidence uploads)
• Oversee and/or execute follow-up of findings from internal audits and regulatory reviews in accordance with policy
• Oversee and/or lead ongoing audit communications and reporting with stakeholders, senior management, and external auditors
• Contribute to audit initiatives by assisting in the design and testing of solutions and supporting implementation efforts
• Lead/manage integrated implementation of policies, processes, procedures, and changes across multiple functional areas
• Serve as audit lead or audit advisor to management and teams in the area of specialization
• Report emerging trends, identify issues and opportunities, and recommend actions to senior management
• Facilitate key discussions and provide thought leadership to executive audiences
• Contribute to review of internal processes and activities in alignment with internal policies/procedures, enterprise frameworks, methodologies, and applicable regulatory guidelines
• Identify control weaknesses/failures and potential opportunities to improve operational efficiencies within the business area
• Manage relationships with business lines and corporate/control functions to ensure alignment with enterprise and/or regulatory requirements
• Keep current on emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
• Assess and identify key issues and escalate to appropriate levels and stakeholders when required
• Maintain a culture of risk management and control supported by effective processes and sound infrastructure aligned with risk appetite
• Participate in cross-functional/enterprise initiatives as a subject matter expert to identify risk and guide complex situations
• Provide thought leadership and/or industry knowledge for the area of expertise
• Encourage a positive work environment that supports service to the business, quality, innovation, and teamwork, including timely communication of issues
• Identify and recommend opportunities to enhance productivity, effectiveness, and operational efficiency
• Work effectively as a team; support other team members in achieving business objectives and serving stakeholders
• Participate in knowledge transfer within the team and business units
• Contribute to performance management by coaching and providing input into team members’ assessment on assigned audits

Requirements

• Undergraduate degree required
• 7+ years of relevant experience

Preferred Qualifications

• Strong judgment and analytical skills, including evaluating sufficiency of evidence, appropriate depth of testing, and severity of issues identified during audits
• Specialized auditing skills with particular expertise in Financial Crimes
• Work ethic and independence, including the ability to work independently with a sense of urgency
• Experience in issue validation, confirming corrective actions have been implemented and are effective in addressing identified deficiencies
• Technical proficiency using MS Office, Power BI, AI, and supporting data analysis and reporting requirements within the audit function
• Preferred certifications such as Certified Internal Auditor (CIA), Certified Anti-Money Laundering Specialist (CAMS), and Certified Fraud Examiner (CFE)

Compensation & Benefits

• Base pay range: $94,980 - $153,790 USD
• The base pay offered may vary based on skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
• Total Rewards may include base salary and variable compensation/incentive awards (eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan), 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/recognition.

Location

• Greenville, South Carolina, United States of America
• In-office work is strongly preferred; remote candidates outside the TD footprint may be considered at the hiring manager’s discretion if skills and experience closely align with the role.

Physical Requirements

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Performing multiple tasks: Continuous
• Operating standard office equipment: Continuous
• Responding quickly to sounds: Occasional
• Sitting: Continuous
• Standing: Occasional
• Walking: Occasional
• Moving safely in confined spaces: Occasional
• Lifting/Carrying (under 25 lbs.): Occasional
• Lifting/Carrying (over 25 lbs.): Never
• Squatting: Occasional
• Bending: Occasional
• Kneeling: Never
• Crawling: Never
• Climbing: Never
• Reaching overhead: Never
• Reaching forward: Occasional
• Pushing: Never
• Pulling: Never
• Twisting: Never
• Concentrating for long periods of time: Continuous
• Applying common sense to deal with problems involving standardized situations: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

Hours

• 40