Audit Manager II, Financial Crimes, High Risk Area (667)

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Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

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.

Job Description:

Department Overview:

Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business. At the heart of audit is our specialization in all the businesses across the bank.

Safeguarding the reputation of TD's good governance depends on us.

We're counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations. We crunch the data, consult with our partners and stakeholders, and present our findings to mitigate the risks of today and around the corner and help keep our daily operations running smoothly for our customers.

Position Overview

The position of Audit Manager II, Financial Crimes Audit, High Risk Areas resides within the Financial Crimes Centre of Excellence of TD's Audit Department. The Audit Manager II is a Financial Crime Professional, resilient, dynamic, trusted advisor and adaptive leader with knowledge and experience with facets of the Financial Crime Risk Management Program including technology, data, models and emerging technologies such as Artificial Intelligence and Machine Learning.

The position provides support and the management of the Financial Crimes Audit Program which includes conducting audits of the systems of internal controls are effective and compliant with regulatory requirements. You will be accountable and responsible to the assessment of the financial crime internal controls as well as issue management, audit planning, risk assessment, adhoc projects and initiatives.

The Audit Manager II, Financial Crimes Audit, High Risk serves in capacity as Auditor In Charge (AIC) overseeing team of auditors during audit engagements.

The Audit Manager II is a Financial Crime Professional, resilient, dynamic, trusted advisor, relationship manager, people manager and adaptive leader with knowledge and experience with different facets of the Financial Crime Risk Management Program including Governance, Management Reporting, Organization Structure and Staffing, Policies, Standards, Procedures, Risk Assessment, Assessment of New Products and Initiatives, Training, Regulatory Compliance Management, Customer Due Diligence/Know your Customer, Enhance Due Diligence, Customer Risk Rating including High Risk Customer Types (Money Service Business, Politically Exposed Person, Heads of International Organizations etc.) Investigations, Demarketing, Regulatory Reporting (Suspicious Transaction Reports, Large Cash Transaction Report, Electronic Funds Transfer Reports, Terrorist Property Report), Transaction Monitoring, Sanctions, Record Retention, as well as data analytics, technology, data, models and emerging technologies such as Artificial Intelligence and Machine Learning.

The Audit Manager II supports the Associate Vice President (AVP), Financial Crimes Audit, High Risk Areas and Senior Audit Group Manager, Financial Crimes Audit, High Risk Areas with the management of the Financial Crimes Audit Program which includes conducting audits of the systems of internal controls to determine if they are effective and compliant with regulatory requirements. Additionally, the Audit Manager II assist with management of the assigned audit portfolio, issue management, audit planning, risk assessment, adhoc projects and strategic initiatives.

The role provides opportunity for collaboration and coordination with other audit groups (Models, Information Technology, Business Segment) to conduct audits of the various areas across the Bank including the Business Segments (Canadian Business Banking, Canadian Personal Banking, Wealth Management), Financial Crime Risk Management (2nd line) and Corporate Functions.

Preferred:

• Financial Crime designations (CAMS, CFE, FIS, CFCS)
• Strong knowledge of the Financial Crimes regulations (includes AML, ATF and sanctions), FATF recommendations, AML/ATF and sanctions frameworks, emerging risk, trends, typologies.
• Strong knowledge of FINTRAC Guidelines and Interpretations, Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulations, Criminal Code, Sanctions Regulations
• Knowledge of Financial Crimes Governance, Reporting, Regulations, Regulatory Compliance Management, Policy, Standards, Procedures, Customer Due Diligence, Know Your Customer, Enhance Due Diligence, Customer Risk Rating, Investigations, Sanctions, Money Service Business, Politically Exposed Person, Heads of International Organizations, High Risk Customer Types, Regulatory Reporting (Large Cash Transaction Reports (LCTRs), Electronic Funds Transfer Reports (EFTRs), Terrorist Property Reports (TPRs), Suspicious Transaction Reports (STRs)) and Transaction Monitoring.
• Experience and proficiency in audit, monitoring and testing, quality assurance, quality control.
• Strong communication, interpersonal and people management skills, project management and managing competing priorities.
• Ability to write and review audit findings and report
• Knowledge of financial products and services.
• Understanding and proficiency of data management controls, information technology, models and data analytics

Job Requirements :

• Over 7 years of relevant experience with undergraduate degree
• Relevant professional certifications, accounting designations
• Advanced knowledge of business processes and operations, risk, change and project methodologies, organizational practices and business transformation
• Expertise in using software tools, windows applications, data analysis and reporting techniques
• A strong team leader who can negotiate and influence key partners including employees
• Aptitude in exercising sound judgment while making decisions and handle confidential information with discretion
• Ability to work collaboratively and communicate effectively in both oral and written form
• Deep knowledge of specialist auditing and integration of cross functional processes to undertake and complete a variety of audit projects and initiatives

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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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. 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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

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.

Accommodation
Your accessibility is important to us. Please let us know if you'd like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.
We look forward to hearing from you!

Language Requirement (Quebec only):