Sr Audit Group Manager (US) - Financial Crimes

TD Bank, N.A.; Mount Laurel Township (NJ); On-site; USD 124,000 - 186,000; Full time

Job summary

TD Bank, N.A. in Mount Laurel, New Jersey, is seeking a Senior Audit Group Manager to lead a team of audit professionals and oversee audits of varying complexity. You will provide guidance, coaching and development to ensure operational results and professional growth within the group.

The role requires a 10+ year track record with an undergraduate degree and strong regulatory, AML, fraud and sanctions experience. Candidates with CAMS/CIA/CRCM/CPA/CFE certifications are preferred.

Qualifications

• Undergraduate degree required and 10+ years of relevant experience.
• Financial Crimes compliance / regulatory experience.
• Experience leading complex audits.
• Experience in Financial Crime / AML / Fraud / Insider Risk / Sanctions.
• Strong Project Management skills.
• Relevant professional certifications (e.g. CAMS, CIA, CRCM, CPA, CFE) preferred

Responsibilities

• Develops and leads an audit team to plan and execute audits and projects of varying complexity.
• Provides guidance, leadership, coaching and development to ensure objectives are achieved.
• Act as strategic advisor to leadership on portfolio management with deep industry knowledge.
• Lead cross-functional discussions and escalate issues to senior management as needed.
• Manage relationships with enterprise partners and interface with leadership to align audit scope and accountability.
• Oversee implementation of internal audit action/remediation plans and ensure timely completion.

Skills

People management

Audit leadership

Project management

Regulatory knowledge

Communication skills

Education

Undergraduate degree

Job description

Work Location

Mount Laurel, New Jersey, United States of America

Hours and Pay Details

Hours: 40 Pay Details: $123,880 - $185,820 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 Senior Audit Group Manager leads and develops a team of audit professionals and is responsible for overseeing, planning and executing audits and / or projects of varying complexity and may act as a subject matter expert in own area of expertise. Accountable to provide guidance, leadership, coaching and development to ensure operational results and professional / personal development objectives are achieved for the overall group.

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
• Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope
• People Manager role that generally manages a team of Audit professionals / specialists
• Strategic advisor to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and identifying operational efficiencies and opportunities with other business management / enterprise areas
• Facilitates key strategic audit discussions and provide thought leadership to executives
• Sets operational team direction and collaborate with others to execute on common goals
• Focuses on long term planning for functional area
• Ability to process and handle confidential information with discretion

Education & Experience

Undergraduate degree required 10+ years of relevant experience

Preferred Qualifications

• Financial Crimes compliance / regulatory experience
• Experience leading complex audits
• Experience in Financial Crime / AML / Fraud / Insider Risk / Sanctions
• Ability to drive audit engagements
• Strong Project Management skills
• Resource management Draft planning documents, findings, reports Design and review test scripts, work papers Recognizes team members' contributions.
• Participates in, and actively supports implementation of department improvement initiatives.
• Relevant professional certifications (e.g. CAMS, CIA, CRCM, CPA, CFE) preferred

Customer Accountabilities

• Develops, communicates and implements a holistic strategy for audit area of expertise in support of and integrated with the overall audit strategy
• Oversees / leads / manages and plans audit engagement work activities to ensure adequate risk coverage which may require alignment across multiple areas
• Review of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report
• Completes L2 reviews / sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads)
• Acts as lead audit advisor to management and respective teams for area of specialization.
• Reports on emerging trends, identifying issues and opportunities and recommending action to senior management
• Acts as a strategic audit advisor by providing counsel and guidance on audit issues.
• Leads relationships with key enterprise partners and interface with respective leadership team to effectively manage own audit area and clarify scope of accountabilities while influencing and aligning others as needed
• Ensures an integrated and aggregated view of all related activities across the overall function providing escalations, recommendations, and decision support to leadership
• Forecasts initiatives and demand, and coordinates prioritization of the portfolio / initiatives with key stakeholders
• Provides functional / business level communications to ensure messages to stakeholders and/or leaders are consistent, appropriate and aligned to business strategies and executive management direction
• Leads the team in the development and/or integrated implementation of policies / processes / procedures / changes across multiple audit areas
• Shareholder Accountabilities: Ensures team 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 potential opportunities to improve operational efficiencies for their business area Leads relationships with business lines / corporate and/or control functions to ensure alignment with enterprise and/or regulatory requirements Supports team in staying knowledgeable on emerging issues, trends, and evolving regulatory requirements and assesses potential impacts to the Bank
• Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders and audit management where required
• Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
• Identifies, mitigates and reports on risk issues per enterprise policy / guidelines and ensures appropriate escalation processes are followed
• Leads or contributes to cross-functional / enterprise initiatives as an organizational or subject matter expert helping to identify risk / provide guidance for complex situations
• Oversees or leads the facilitation and/or implementation of own internal audit action/remediation plans to address performance / risk / governance issues
• Employee/Team Accountabilities: Responsible for management of the overall team(s) providing both leadership and guidance. Sets targets and objectives for the team, and deliver results Grows team expertise to align with enterprise demand and the Bank's direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered Fosters an environment / culture that encourages productivity, innovation, process improvement, teamwork and a high level of professionalism Co-ordinates necessary resources to ensure completion of Audit assignment by deadlines Provides coaching, development, succession, recruitment, resource management and overall team leadership for team members and provide regular input into team members’ assessment of performance and development plans Prioritizes and manages own workload in order to deliver quality results and meet timelines 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 business areas Participates in knowledge transfer within the team and business units Supports and manages teams through change Is a brand ambassador for Internal Audit both internally to the bank and externally
• 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.

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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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities. 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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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

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. US Labor & Employment Posters | California Privacy | Accessibility | FAQ

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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 guide our behavior. 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.

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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.

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