Sr Audit Manager QAIP Global Compliance and Risk

Sr Audit Manager QAIP Global Compliance and Risk Location Greenville, NY :

Sr Audit Manager QAIP Global Compliance and Risk 429689BR

Job Category - Primary

Audit

Work Location

1 Vanderbilt Avenue Corporate, 70 Gray Road West Falmouth Crossing, Greenville Campus Building A - 200 Carolina Point Parkway, Mt Laurel - Operations Center Bldg 1 - 9000 Atrium Way

Employment Type

Regular

City

Falmouth, Greenville, Mount Laurel, New York

Time Type

Full Time

State

Maine, New Jersey, New York, South Carolina

Hours

40

Pay Range

$112,900 - $183,460 annually

Department Overview

Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business. At the heart of audit is our specialization in all the businesses across the bank. Safeguarding the reputation of TD's good governance depends on us. We're counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations. We crunch the data, consult with our partners and stakeholders, and present our findings to mitigate the risks of today and around the corner and help keep our daily operations running smoothly for our customers.

Job Details

The Audit Division Quality Assurance and Improvement Program (QAIP) team is responsible for the development and execution of the QAIP annual plan as well as evolving the QAIP strategy to align with regulatory expectations, industry best practices and the Institute of Internal Auditors requirements. The Senior Manager, QAIP leads and develops a team of audit professionals and subject matter experts, as well as oversees, plans and executes audit quality assurance reviews and/or projects of varying complexity and may act as a subject matter expert in own area of expertise. Provides guidance, leadership, coaching and development to ensure operational results and professional/personal development objectives are achieved for the overall group.

Job Requirements

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
• May support audits for a particular business, function or project as a subject matter expertise
• Highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business lines
• Directs, oversees, plans and executes efficient and effective audits to ensure appropriate coverage for areas of expertise
• May leads and execute audits and has an overall responsibility for the completion of the audit
• Evaluates internal and external risks for assigned business lines
• Communicates recommendations and process improvements to management in area(s) of expertise
• Monitors business line projects
• May contribute to, and/or review, area(s) of expertise in the final audit report following CAE review and approval
• Provides meaningful recommendations to audit procedures and programs
• Completes Post Audit Feedback Form for self
• Communicates status and escalate issues
• Clears review notes following each review
• Participates in post-audit critique meeting
• Participates in completion of the quarterly Control Dashboard process
• Reviews reports from QA team, peer reviews and Regulator feedback and makes necessary enhancements, as required
• Contributes to completion of the annual RAP and Annual Audit Plan for assigned area(s)
• Key member in Centers of Excellence
• Participates in continuous monitoring/call program
• 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.

Experience:

• Bachelor's degree required; Master's degree preferred
• 8+ years related experience required; Banking experience preferred
• Relevant certification required
• PC skills (MS Office Suite)
• Excellent oral and written communication skills
• Advanced level of critical thinking, risk based decision making, problem solving and conflict resolution skills
• Travel 35% or more
• Works well independently and with others
• Completes tasks timely and accurately
• Escalates issues and delays quickly
• Effectively manages competing priorities for self
• Advanced awareness of laws and regulations governing the banking industry that impact assigned area
• Advanced functional audit knowledge and skills
• Knowledge in subject matter areas
• Proficient conflict resolution skills
• Adapts, promotes, and champions change
• Assumes ownership and promotes accountability
• Thrives in fast-paced and challenging environments
• Advanced skills in building and maintaining relationships within, and external, to audit
• Strong ability to develop relationships with the business while conducting audits
• Consults assigned lines of business (trusted advisor)
• May manage a team of professional resources indirectly and actively trains /coaches audit staff
• Proficient influencing skills.

• Must be eligible for employment under regulatory standards applicable to the position.

Qualifications

Preferred qualifications/experience:

• CIA certification or other relevant certification
• Audit Experience
• Global Compliance experience
• Risk Management experience

Company Overview

Our Values At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture. Making Your Well-being a Priority A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best. 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. How We Work At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they'll always have access to the TD community to experience our culture of care. 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.

Inclusiveness

Our Commitment to Diversity, Equity, and Inclusion At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity. Accommodation If you are a candidate with a disability and need accommodations to complete the application process, email the 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 application process. How We're Helping Make an Impact in Communities TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. We look forward to hearing from you!

Business Line

TD Bank AMCB

Job Category(s)

Audit

Country

United States

State (Primary)

New Jersey

City (Primary)

Mount Laurel

State #2

South Carolina

City #2

Greenville

State #3

New York

City #3

New York

State #4

Maine

City #4

Falmouth

Job Expires

10-Feb-2024