About TD Bank, America's Most Convenient Bank® TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US . TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit www.td.com .
The Senior Audit Group Manager is accountable for leading certain audit activities (classified as "other audit activities") and non-core audit activities for the Global Compliance and AML Audit Team ("Team").
Breadth & Depth (Job Requirements)
Accountable for the development and implementation of the people development strategy for the Global Compliance and AML Team
Plan, direct and oversee the execution of findings validation work (audit and regulatory) to meet the Divisions objectives as well as ensure the Institute of Internal Audit (IIA) Professional and Internal Audit department standards are met
Develop and lead a team of audit professionals responsible for findings validation by providing regular performance and development feedback and coaching
Accountable for designing test plans for findings to ensure proper validation efforts
Responsible for negotiating sensitive validation results of audit findings with management and assuring proper escalation has occurred
Responsible for communicating status of audit findings to Audit Management and Senior Business Executives and escalate if needed
Responsible for overall management and completion of the Team's audit resource scheduler/ plan and resource assessments throughout the year, ensuring audits are resourced appropriately
Responsible for overseeing the team's regulatory requests and ensuring effective and timely completion
Responsible for Providing meaningful recommendations to audit procedures and programs, as applicable for assigned projects
Serves as the lead for post-audit critique meetings (LLM) for the Global Compliance and AML Team
Responsible for completion of the quarterly Control Dashboard process for Global Compliance and AML and properly reflecting risk in the Control Dashboard and all risk assessment exercises
Responsible for scheduling and leading key management meetings, touch points, and status updates for the Global Compliance and Team applicable to reporting (i.e. control dashboards, Audit Committee Reporting, Opinion Reports, and Findings Status Reports).
Responsible for providing Audit management with a summary of key points related to Global Compliance and AML (includes documentation) in preparation for key meetings and/or inclusion in committee reports, including Risk and Audit Committee.
Responsible for reviewing reports from the QA team, peer reviews and Regulator feedback and proposes necessary enhancements for applicable areas.
Responsible for leading the annual risk assessment and audit plan processes for the Global Compliance and AML Audit Team and contribute to the completion, as applicable.
Concludes and reports on the adequacy and effectiveness of internal controls and risk management including second line of defense via Opinion reports
Serves as the lead for various projects/ division initiatives as needed.
Responsible for managing the relationship with co-source/contractors, including execution of work orders, on-boarding and off-boarding processes
Promote and foster a positive work environment that encourages innovation, creativity, teamwork and quality auditing;
Support management and other team members in the achievement of individual, divisional and team goals.
Demonstrates TD leadership core values
Recognizes team members' contributions
Participates in, and actively supports implementation of department improvement initiatives
Excellent risk-based decision-making to make an impact while valuing speed
Expert awareness of laws and regulations governing the banking industry that impact assigned areas
Expert in functional audit knowledge and skills
Expert knowledge in multiple subject matter areas
Expert conflict resolution skills
Expert at building and maintaining relationships within and external to audit
Expert analytical skills
Adapts, promotes, and champions change
Leads teams without direct authority
Assumes ownership and promotes accountability
Thrives in fast-paced and challenging environment
Consults and serves as a point of contact for audit team
Maintains external auditor and regulatory relationships
Recognizes team members' contributions
Must be eligible for employment under regulatory standards applicable to the position.
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 in and serve, and creating an environment where every employee has the opportunity to reach their potential.
If you are a candidate with a disability and need an accommodation 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.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Internal Number: 6315597
About TD Bank Group
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