Audit Manager I (US) - Technology Audit

TD Bank Group; New York (NY); On-site; USD 83,450 - 125,180; Full time

Benefits offered by this job

Growth opportunities

Equitable compensation policies

Job summary

TD Bank Group is looking for an Audit Manager I in New York, New York. This role involves executing audits and managing compliance across various business functions.

The ideal candidate will have 5+ years of experience in Internal Audit or Risk, strong communication skills, and familiarity with technology audits in financial services. The position provides growth opportunities and competitive compensation.

Qualifications

• 5+ years of relevant experience in Internal Audit or Risk.
• Strong written and verbal communication skills.
• Experience in technology audits within a financial environment.

Responsibilities

• Execute audits in accordance with established standards.
• Lead moderately complex audits to completion.
• Contribute to the audit planning process and manage communications.

Skills

Internal Audit

Risk Assessment

Technical Audit

Communication Skills

Stakeholder Management

Education

Undergraduate degree

Tools

Audit Management Tools

Job description

Work Location:
New York, New York, United States of America

Hours:
40

Pay Details:
$83,450 - $125,180 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.

Line of Business:
Audit

Job Description:

The Audit Manager I executes audits for an assigned business, function or project as part of a team or as an individual contributor and/or provide subject matter expertise on audits ranging in complexity. May manage/lead a number of moderately complex audits, related engagement and/or projects/initiatives. and has responsibility for completion of the audit.

Depth & Scope:

• Works as an audit subject matter expert and may coach and educate others
• Oversees and/or independently performs audits from end-to-end
• May lead moderately complex audits and have responsibility for completion of the audit
• Undertakes and completes a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise
• Ability to process and handle confidential information with discretion

Education & Experience:

• Undergraduate degree required
• 5+ years of relevant experience

Preferred Skills:

• Approximately 5+ years of relevant experience in Internal Audit, Technology Audit, Risk, or Controls
• Experience conducting technology audits within a banking, financial services, or regulated environment
• Strong understanding of audit methodology, risk assessment, testing, and issue management
• Experience assessing technology controls, IT processes, and governance frameworks
• Strong written and verbal communication skills
• Ability to manage multiple audits and priorities simultaneously
• Internal Audit experience within a financial institution
• Big Four public accounting or advisory experience
• Technology Audit experience supporting banking or financial services organizations
• Knowledge of TD Securities, capital markets, trading, or financial products
• Experience auditing applications, infrastructure, databases, cybersecurity, or technology risk management functions
• Familiarity with regulatory expectations impacting financial institutions
• Data analytics experience, including SQL-based testing and analysis
• Experience working with audit management tools and reporting platforms
• Strong stakeholder management and relationship-building skills
• Ability to work independently while collaborating across geographically dispersed teams

Preferred Certifications:

• CISA (Certified Information Systems Auditor) preferred, candidates who do not currently hold the certification are expected to obtain it by year-end.
• CISSP, CRISC, CIA, or other relevant audit/risk certifications are a plus

Customer Accountabilities:

• Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion
• Executes testing of controls such as but not limited to walkthroughs (leading and documentation), test scripts (development and execution), and issue management (identification and capturing in the grid)
• May execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
• May complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
• Contributes to the audit planning process for specific audits, ensuring appropriate programs and audit risk assessments are completed accordingly
• Manages the ongoing audit communications process with the stakeholders during and subsequent to the audit
• Presents objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to stakeholders and audit management
• Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
• Provides subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks

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 assist in identifying control weaknesses / failures, potential opportunities to improve operational efficiencies for own business area
• May develop and provides complex reporting, analysis, and assessments at the functional or enterprise level
• Prioritizes and manages own workload to deliver quality results and meet assigned timelines
• Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and apply them where appropriate
• Develops and delivers audit findings, presentations / communications to management or broader audience
• Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required
• Contributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility

Employee/Team Accountabilities:

• Continuously enhances knowledge / expertise in own area
• Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensures timely communication of issues / points of interest
• Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
• Establishes effective relationships across multiple businesses
• Participates in knowledge transfer within the team and business units
• Works to achieve individual goals and support other team members in the achievement of team goals and divisional objectives

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• 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

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [e-mail]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.