JOB DESCRIPTION:
Required: Proven experience in leading audits and control testing within the audit or control functions of financial institutions.
Preferred: Solid understanding of financial products, including fixed income credit, rates, and equities, and experience with Securities and Commodities laws, rules, and regulations as they pertain to U.S. broker-dealers.
The Audit Manager II provides specialized in-depth subject matter expertise and is responsible for contributing to the planning, risk assessment and/or execution of audits and/or related processes. The Audit Manager II may act as a specialized resource on audits, based on subject matter expertise. This role leads and/or provides supervisory oversight to complex audits and ensures completion.
EDUCATION & EXPERIENCE:
- Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required
- 7+ years of relevant experience
- Advanced knowledge of audit standards, procedures, laws, rules and regulations
- Knowledge of risk management environment, standards and regulations
- Knowledge of current and emerging trends
- Skilled in mentoring, coaching and performance management
- Skilled in using computer applications including MS Office
- Ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit
- Ability to communicate effectively in both oral and written form
- Ability to work collaboratively and build relationships across teams and functions
- Ability to work successfully as a member of a team and independently
- Ability to exercise sound judgement in making decisions
- Ability to analyze, organize and prioritize work while meeting multiple deadlines
- Ability to contribute to strategic direction of the audit function and provide advice to senior leadership
CUSTOMER ACCOUNTABILITIES:
- Contributes to the strategic direction of the audit function and plays a key role in the development and implementation of programs
- Plans, leads/manages and/or oversees audit activities requiring alignment across multiple areas, and ensures audits are executed and completed in accordance with established standards and within prescribed parameters
- Oversees/leads audits and/or executes the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
- Oversees/leads the ongoing audit communications and/or the reporting process with the client, senior management and external auditors for specific and/or overall Audit area
- Provides direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participates in identifying, designing and testing solutions and supporting the implementation
- Leads/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas
- Acts as the audit lead or 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
- Facilitates key discussions and provides thought leadership to executive audience
SHAREHOLDER ACCOUNTABILITIES:
- 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 control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area
- Actively manages relationships with business lines/corporate and/or control functions and ensures alignment with enterprise and/or regulatory requirements
- Keeps abreast of 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 where required
- Maintains a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
- Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Provides thought leadership and/or industry knowledge for own area of expertise
- Encourages 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
- Works effectively as a team, supporting other members of the team in achieving business objectives and providing client services
- Participates in knowledge transfer within the team and business units
- Contributes to the overall performance management process by providing coaching and input into team members’ assessment on assigned audits
WHO WE ARE
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
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