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Audit Manager I, Financial Crimes

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TD Bank

Jul 5

Applications are closed

  • Job
    Full-time
    Senior Level
  • Accounting & Tax
  • Toronto

Requirements

  • Over 5 years of relevant experience with undergraduate degree or relevant professional certifications, accounting designations, or equivalent education (CAMS considered a strong asset)
  • Hands on knowledge of MS Office (Excel, Word, PowerPoint, Access and Outlook) and Internet applications
  • Proficient to work multi-functionally, provide guidance to other team members and ensure good relations across teams and functions to work on projects that may require integration of cross functional processes
  • Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment

Responsibilities

  • Provide expertise in planning and executing end to end audits based on the established audit plans in alignment with applicable policies and regulatory guidelines in a timely fashion
  • Lead the planning process for assigned audits while ensuring the completion of appropriate programs and risk assessment to mitigate risks and improve effectiveness across the business
  • Support the audit opinion as per internal controls and professional audit standards to present the findings and recommendations to client and audit management
  • Manage follow-ups on the new findings raised from regulatory and internal divisional audits to ensure all data is up-to-date and properly documented
  • Review and identify failures in internal processes and recommend improvements to enhance operational efficiencies
  • Stay knowledgeable about emerging trends and developments related with business, analytical tools and techniques to deliver quality results within tight timeframes
  • Act with the highest levels of integrity while always observing regulatory guidelines, fulfilling your due diligence and handling confidential information with discretion
  • Build a fair and positive work environment where team can openly report challenges and exchange ideas, knowledge and skills and maintain good working relationships with each other to achieve common goals

FAQs

What is the primary responsibility of the Audit Manager I, Financial Crimes?

The primary responsibility is to provide subject matter expertise in planning and executing end-to-end audits for assigned business areas, functions, or projects, while leading moderately complex audits and ensuring their timely completion.

What qualifications are required for this position?

Candidates should have over 5 years of relevant experience, an undergraduate degree or relevant professional certifications, and accounting designations or equivalent education. A certification in Anti-Money Laundering (CAMS) is considered a strong asset.

What skills are essential for the Audit Manager I role?

Essential skills include hands-on knowledge of MS Office applications, strong communication skills (both written and verbal), the ability to work multi-functionally, and the capability to guide team members while maintaining good relations across different teams and functions.

How does the Audit Manager I support the audit opinion process?

The Audit Manager I supports the audit opinion by ensuring internal controls are assessed according to professional audit standards, presenting findings and recommendations to clients and audit management effectively.

What is expected regarding follow-ups on findings from audits?

The Audit Manager I is responsible for managing follow-ups on new findings raised from regulatory and internal divisional audits, ensuring that all data is up-to-date and properly documented.

Is experience in handling regulatory guidelines important for this role?

Yes, acting with the highest levels of integrity while observing regulatory guidelines and handling confidential information discreetly is critical in this role.

How does the Audit Manager I contribute to the overall work environment?

The Audit Manager I is expected to build a fair and positive work environment where team members can openly report challenges, exchange ideas, and maintain good relationships to achieve common goals.

What types of tools and techniques should the Audit Manager I be familiar with?

The Audit Manager I should stay knowledgeable about emerging trends and developments related to business and analytical tools and techniques to deliver quality audit results within tight timeframes.

What are the primary goals of the audits executed by the Audit Manager I?

The primary goals are to mitigate risks, improve effectiveness across business functions, enhance operational efficiencies, and provide actionable recommendations based on audit findings.

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen