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Audit Manager- Compliance Job Details

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Employer:  TD Bank
Job Ref No:  190301BR
Job Title:  Audit Manager- Compliance
Sub Sector:  Traditional Asset Manager
Expertise:  Regulatory/Compliance
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 Audit Manager is accountable for overseeing the planning and execution for audits covering discrete business units or functional corporate areas. The job will also oversee the Audit team performing the audits.




• Contributes to the Audit planning process for specific businesses/ functional units, including audit plans, resource requirements and budgets

• Has overall responsibility for completion of audits. Plans and leads audits and oversees staff working on multiple audits, forming conclusions, communicating scope/findings to business line.

• Performs testing of critical areas of audit. Performs review of audit documentation. Oversees findings follow up and issue validation.

• Ensures audits are executed and completed in accordance with established standards and within prescribed time, budget and scope parameters to ensure deadlines are met

• Oversees a small to medium sized team assigned to a given audit and provide coaching and feedback on performance throughout the audit

• Evaluates internal and external risks for assigned business lines and/or functions utilizing their subject matter expertise.

• Acts as primary contact with management regarding audit scope, findings and status




• Bachelor's degree required

• Advanced degree preferred

• 8+ years related experience required

• PC skills (MS Office Suite)

• Excellent oral and written communication skills

• Advanced critical thinking

• Risked based decision making, problem solving and conflict resolution skills

• Advanced analytical skills

• Work well independently and with others

• Complete tasks timely and accurately

• Escalate issues and delays quickly

• Effectively manage competing priorities for self and others

• Advanced awareness of laws and regulations governing the banking industry that impact assigned area

• Advanced functional audit knowledge and skills

• Relevant certification required

• Strong project management skills

• Advanced knowledge in designated subject matter areas

• Adapt, promote and champion change

• Lead and manage small to medium sized teams

• Assume ownership and promote accountability

• Thrive on fast-paced and challenging environment

• Banking experience preferred

• Advanced skills in building and maintaining relationships within, and external to, audit

• Strong ability to develop relationships with the business while conducting audits

• Consult assigned lines of business (trusted advisor) for audit

• Deliver CSI and follow up as appropriate

• Strong influencing skills

• Manage a team of professional resources, and actively develop, recruit, train, coach and conduct performance assessments for team members

• Ensure resources are effectively utilized to achieve target utilization rates

• Accountable for promoting recognition in the team and division

• Engage team members in stretch assignments within the team and at the division and/or TD level

• Keep team members informed

• Demonstrate TD leadership core values

• Deliver effective presentations/training at the division level, industry conferences, workshops, etc.

• Provide successful onboarding and orientation to new hires

Preferred Qualifications:

  • Retail Regulation experience with the likes of Reg Z, Reg B, RESPA, TILA, etc are preferred.


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Up to 10%






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 her/his 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.





New Jersey




Mount Laurel

Employment Type:  Full Time
City:  Mount Laurel
Address: 
07/11/2018

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