Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Audit

Pay Detail:

$140,000 - $160,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

. Required: Experience with audit validation of regulatory findings, including MRA's.

. Preferred: Experience with U.S. Anti-Fraud, Securities and Commodities laws, rules, and regulations as they pertain to U.S. broker dealers.

The Audit Manager II provides specialized in-depth subject matter expertise and is responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes.  The Audit Manager II may act as a specialized resource on audits, based on subject matter expertise.  This role leads and/or provides supervisory oversight to complex audits and ensures completion.

Depth & Scope:

Works autonomously and accountable for acting as a lead within a specialized audit practice area and may provide work direction to othersProvides seasoned specialized knowledge, advice and/or guidance to various stakeholders and team membersMay lead and/or provide supervisory oversight to complex audits and ensure completionAdvanced knowledge of external competition, industry and/or market trends in relation to own function/businessScope of role may have enterprise impactUndertakes and completes a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertiseMay oversee and/or independently perform concurrent multiple audits and related tasks from end to endAbility to process and handle confidential information with discretionContributes to the Audit planning process for specific businesses/ functional units, including audit plans, resource requirements and budgetsPerforms testing of critical areas of audit; performs review of audit documentation; oversees findings follow up and issue validationEnsures audits are executed and completed in accordance with established standards and within prescribed time, budget and scope parameters to ensure deadlines are metEvaluates internal and external risks for assigned business lines and/or functions utilizing their subject matter expertiseActs as primary contact with management regarding audit scope, findings and status

Education & Experience:

Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required7+ years of relevant experienceAdvanced knowledge of audit standards, procedures, laws, rules and regulationsKnowledge of risk management environment, standards and regulationsKnowledge of current and emerging trendsSkilled in mentoring, coaching and performance managementSkilled in using computer applications including MS OfficeAbility to lead, plan, implement and evaluate program/project activities to ensure completion of auditAbility to communicate effectively in both oral and written formAbility to work collaboratively and build relationships across teams and functionsAbility to work successfully as a member of a team and independentlyAbility to exercise sound judgement in making decisionsAbility to analyze, organize and prioritize work while meeting multiple deadlinesAbility to contribute to strategic direction of the audit function and provide advice to senior leadership

Customer Accountabilities:

Contributes to the strategic direction of the audit function and plays a key role in the development and implementation of programsPlans, leads/manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parametersOversees/leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policyOversees/leads the ongoing audit communications and/or the reporting process with the client, senior management and external auditors for specific and/or overall Audit areaProvides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participates in identifying, designing and testing solutions and supporting the implementationLeads/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areasActs as the audit lead or audit advisor to management and respective teams for area of specialization; reports on emerging trends, identifying issues and opportunities and recommending action to senior managementFacilitates key discussions and provides thought leadership to executive audience

Shareholder Accountabilities:

Adheres to internal policies/procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes to the review of internal processes and activities and assists in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business areaActively manages relationships with business lines/corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirementsKeeps abreast of emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the BankAssesses/identifies key issues and escalates to appropriate levels and relevant stakeholders where requiredMaintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetiteParticipates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations

Employee/Team Accountabilities:

Provides thought leadership and/or industry knowledge for own area of expertiseEncourages a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues/ points of interestIdentifies and recommends opportunities to enhance productivity, effectiveness and operational efficiencyWorks effectively as a team, supporting other members of the team in achieving business objectives and providing client servicesParticipates in knowledge transfer within the team and business unitsContributes to the overall performance management process by providing coaching and input into team members' assessment on assigned audits

Who We Are

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.

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. Learn more
 

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 are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.