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Sr Audit Manager (US), QAIP Global Compliance and Risk

TD Bank Group
Mount Laurel, USA
Closing date
Jul 11, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Work Location:
Mount Laurel, New Jersey


Pay Details:
$119,110 - $193,550 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

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:
Job Description:

The Senior Audit Manager is accountable for providing specialized in-depth audit expertise and responsible for contributing to the planning, risk assessment and execution of audits and related processes enterprise and/or division wide.

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
  • May support audits for a particular business, function or project as a subject matter expertise
  • Highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business lines
  • Directs, oversees, plans and executes efficient and effective audits to ensure appropriate coverage for areas of expertise
  • May leads and execute audits and has an overall responsibility for the completion of the audit
  • Evaluates internal and external risks for assigned business lines
  • Communicates recommendations and process improvements to management in area(s) of expertise
  • Monitors business line projects
  • May contribute to, and/or review, area(s) of expertise in the final audit report following CAE review and approval
  • Provides meaningful recommendations to audit procedures and programs
  • Completes Post Audit Feedback Form for self
  • Communicates status and escalate issues
  • Clears review notes following each review
  • Participates in post-audit critique meeting
  • Participates in completion of the quarterly Control Dashboard process
  • Reviews reports from QA team, peer reviews and Regulator feedback and makes necessary enhancements, as required
  • Contributes to completion of the annual RAP and Annual Audit Plan for assigned area(s)
  • Key member in Centers of Excellence
  • Participates in continuous monitoring/call program
  • May participates on or leads various projects/ division initiatives as needed
  • Demonstrates TD leadership Core Values
  • Recognizes team members' contributions
  • Strong presentation skills when delivering training and presentation at the division level, industry conferences, workshops, etc.

  • Bachelor's degree required; Master's degree preferred
  • 8+ years related experience required; Banking experience preferred
  • Relevant certification required
  • PC skills (MS Office Suite)
  • Excellent oral and written communication skills
  • Advanced level of critical thinking, risk based decision making, problem solving and conflict resolution skills
  • Travel 35% or more
  • Works well independently and with others
  • Completes tasks timely and accurately
  • Escalates issues and delays quickly
  • Effectively manages competing priorities for self
  • Advanced awareness of laws and regulations governing the banking industry that impact assigned area
  • Advanced functional audit knowledge and skills
  • Knowledge in subject matter areas
  • Proficient conflict resolution skills
  • Adapts, promotes, and champions change
  • Assumes ownership and promotes accountability
  • Thrives in fast-paced and challenging environments
  • Advanced skills in building and maintaining relationships within, and external, to audit
  • Strong ability to develop relationships with the business while conducting audits
  • Consults assigned lines of business (trusted advisor)
  • May manage a team of professional resources indirectly and actively trains /coaches audit staff
  • Proficient influencing skills

Preferred qualifications/experience:
  • CIA certification or other relevant certification
  • Audit Experience
  • Global Compliance experience
  • Risk Management experience

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 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

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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

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.


If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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