Audit Manager II, TD Securities (239)

at  TD Bank

JOB DESCRIPTION:

As an Audit Manager II, you will provide oversight and ensure completion of complex audits of TD Securities and other applicable Lines of Business. You will be managing working relationships with the businesses audited. You are well-seasoned for delivering audits, including planning, risk assessments, reporting, and providing operational support to the teams. You are coming to the table fully knowledgeable about the financial industry landscape, capital markets and investment banking trends, and, here at TD, you will be putting that insight into action.

• Plan and lead audits and audit activities that require alignment across multiple areas, as per established audit plans in compliance with applicable policies and regulatory guidelines in a timely fashion.
• Manage and/or execute follow-up of findings arising from internal audits and regulatory reviews as per applicable standards.
• Act as a specialized resource on complex audits to provide subject matter expertise for planning, risk assessment, execution of audits and reporting.
• Lead the ongoing audit communications and reporting process with the client, senior management and external auditors, as needed.
• Guide the audit team and participate in identification, design, testing and implementation of a wide range of audit initiatives.
• Identify and resolve key issues by providing guidance for complex situations and report non-standard issues to the appropriate shareholders where required.
• Keep current on emerging trends and evolving regulatory requirements and provide recommendations to address improvement opportunities identified,
• Play a key role in developing and implementing programs to contribute to the strategic direction of the audit division and provide recommendations to senior management to increase the efficiency and effectiveness of the team.
• Build positive, diverse and open work environment by continually improving the efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.

JOB REQUIREMENTS:

• Over 7 years of experience with undergraduate degree or relevant professional certifications, accounting designations, or equivalent education. CPA, CFA or CRM designation is an asset.
• Advanced knowledge of business processes and operations, risk, change and project methodologies, organizational practices and business transformation.
• Experience in working in/ auditing Capital Markets and Investment Banking is an asset.
• Strong leadership skills with ability to negotiate and influence key stakeholders and capacity to work collaboratively and communicate effectively in both oral and written form.
• Ability to multi-task and lead projects that may require integration of cross functional processes and/ or cross functional Teams.
• Aptitude in exercising sound judgment while making decisions and handling confidential information with discretion.
• Expertise in using software tools, windows applications, data analysis and reporting techniques.

Please refer the Job description for details