JOB DESCRIPTION:

The Senior Auditor is responsible to perform and document audit test steps for assigned audits and is generally focused on more critical areas of the audit. The Senior Auditor participates in some aspects of planning of audits and may lead less complex audits/projects. They independently assess control design and operating effectiveness during audits, and provides on the job training for staff auditors.
The main function of a Senior Auditor - ICFR SOX Testing is to carry out a testing of design and operational effectiveness of SOX/Internal controls over Financial Reporting and review testing performed by auditors to ensure quality deliverable in accordance with ICFR Standards and draft findings with design and operational effectiveness testing

Key Accountabilities :

• Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion.
• Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly.
• Manage the ongoing audit communications process with the client during and subsequent to the audit.
• Present objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit management.
• Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
• Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization.
• Support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency.
• Establish effective relationships across multiple businesses.
• Participate in knowledge transfer within the team and business units.
• Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.
• Test of internal controls over Financial Reporting
• Managing stakeholders- Requesting Audit evidence and participating in work throughs
• Documenting proper documentation of control testing

EDUCATION & EXPERIENCE:

• Undergraduate degree required
• 3+ years of related experience

Preferred Skill s:

• .Bachelor’s degree
• At least 2 years of experience in SOX controls testing, preferably from the Big Banks or Big 4 Audit firms.
• Strong English communication skills, interpersonal skills for interacting with stakeholders
• Microsoft – Excel (VLOOKUP, pivot tables, functions)
• CPA or CIA designation

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.

EEO Code Description

• Most jobs require bachelor and graduate degrees, and/or professional certification, or comparable experience.
• This position does not have people management responsibilities

EEO Code Description

• Most jobs require bachelor and graduate degrees, and/or professional certification, or comparable experience.
• This position does not have people management responsibilities.

Customer Accountability Understand and support the Bank’s Customer Service Strategy. Consider the impact of decisions on the well-being of TD, its Customers and stakeholders. Provide the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity. Model quality service delivery at every interaction. Lead and contribute to the ongoing improvement of the partner / Customer experience. Employee and Team Accountability

• Be engaged in advancing and sustaining a unique, inclusive culture that reflects TDs diversity agenda, and create an extraordinary employee experience.
• Participate fully as a member of the team and contribute to a positive work environment.
• May provide leadership, training, and guidance to other team members.
• Ensure ongoing communication with the team on the status / progress of projects and issues / points of interest.
• Actively share information and knowledge, and proactively learn from the expertise of others.

Community Accountability

• Participate in civic activities to promote growth and development of the community and a positive image for TD.

Financial Accountability

• Support the development and implementation of operational strategies and objectives to achieve measurable excellence in the quality delivery of sales, service, and products aligned with Best Run concepts and overall enterprise strategy and objectives.
• Participate in establishing and executing plans and goals for the Business to drive toward results.

Business Operation Accountability Ensure that strategic initiatives and directives are carried out effectively with comprehensive change management strategies. Deliver business services, functions and capabilities that optimize the use of process, technology and our people, and take advantage of TDs scale and operating model. Collaborate to ensure TD is a best run, integrated, customer-focused, growth organization.

• Ensure processes, policies and procedures are designed in compliance with TD Risk Appetite.
• Successfully complete all required job specific, compliance-related training. Understand, utilize and follow Compliance/Risk and control programs. Consult with all risk functions in the development and documentation of policies, procedures and controls, for all department processes.

Ensure ongoing compliance with internal / external audit and regulatory requirements. Provide prompt and comprehensive response to all external audit, regulator and compliance requests and findings. Maintain appropriate records of action plans.

Physical Requirements Never Occasional: 1-33% Frequent: 34-66% Continuous: 67-100%: While performing the duties of this job, the employee is regularly REQUIRED to:

• Service customers while sitting for long periods
• Perform sedentary work
• Perform multiple tasks
• Use standard office equipment

While performing the duties of this job, the employee will be EXPOSED to:

• Exposed to a low noise level
• Sitting - continuous
• Standing - occasional
• Walking - occasional
• Lifting/Carrying - never
• Squatting - never
• Bending - never
• Kneeling - never
• Crawling - never
• Climbing - never
• Balancing - never
• Reaching overhead/forward - never
• Pushing/Pulling - never
• Twisting - never

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