Audit Manager I - Compliance (US)

Audit Manager I U.S. Compliance Audit

The Audit Manager I U.S. Compliance Audit is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines for TD Bank's Governance, Risk & Oversight Functions. The US Consumer Compliance team is primarily responsible for auditing US Consumer Compliance regulations (including but not limited to UDAAP, TILA, HMDA, RESPA, EFTA, etc.) and sufficiency of systems, processes, and oversight to support regulatory compliance.

The Audit Manager I will participate in the planning, execution, and documentation of moderately complex to complex audits / projects to ensure they are aligned with management expectations and executed timely. This role will mentor staff auditors, manage relationships with senior management, and contribute to the continuous improvement of risk management practices.

Depth & Scope :

• Generally leads a team focused on assigned audit and generally assumes the lead position on the audit, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report
• Responsible for time and staffing budgets for upcoming audits
• Responsible for planning of audits
• Responsible for contact with management regarding audit scope, status, and findings
• Works at direction of Audit Manager
• May perform testing procedures for more critical areas of audits
• Provides on-the-job training for staff
• Supervises findings follow up tasks with management and audit staff
• Is a subject matter expert in at least one area of discipline
• Works independently but receives assistance / coaching from the audit manager
• May be Auditor in Charge on an Audit
• May participate and / or lead assigned special projects
• Provides feedback on staff performance on an audit project basis
• Assists in providing feedback on completion of staff evaluations
• Updates, revises, and improves existing audit procedures and programs
• Adds value through consultative interactions with business line management

Education & Experience :

Preferred Qualifications :

Customer Accountabilities :

Employee / Team Accountabilities :

Physical Requirements :

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

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.

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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing and so will you.

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.

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