Td Bank Audit Manager II 

United Kingdom, England, London 

65552501

London, United Kingdom

Department Overview:

The TD Securities Europe and Asia regional audit team, based in London and Dublin, is responsible for performing operational audits within TDSecuritiesin Europe/Asia Pacific, whilst also supporting the broader TDS Audit team globally as required.

Job Description Summary:

Provide 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. May act as a specialized resource on audits, based on subject matter expertise. Lead and/or provide supervisory oversight to complex audits and ensure completion.

Customer:

• Contribute to the strategic direction of the audit function and play a key role in the development and implementation of programs
• Plan, lead / manage and/or oversee audit activities requiring alignment across multiple areas, and ensure audits are executed and completed in accordance with established standards and within prescribed parameters
• Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy
• Oversee/lead the ongoing audit communications and/or the reporting process with the client, senior management and external auditors for specific and/or overall Audit area
• Provide direction and/or input to complex, wide ranging audit initiatives as a subject matter expert and where necessary participate in identifying, designing and testing solutions and supporting the implementation
• Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas
• Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management
• Facilitate key discussions and provide thought leadership to executive audience

Shareholder:

• Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area
• Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required
• Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite
• Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations

Employee/Team:

• Provides thought leadership and/or industry knowledge for own area of expertise
• Encourage a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency
• Work effectively as a team, supporting other members of the team in achieving business objectives and providing client services
• Participate in knowledge transfer within the team and business units
• Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits

Breadth & Depth:

• Work autonomously and accountable for acting as a lead within a specialized audit practice area and may provide work direction to others
• Provide seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members
• May lead and/or provide supervisory oversight to complex audits and ensure completion.
• Advanced knowledge of external competition, industry and/or market trends in relation to own function / business
• Scope of role may have enterprise impact
• Undertake and complete a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
• May oversee and/or independently perform concurrent multiple audits and related tasks from end to end
• Ability to process and handle confidential information with discretion
• Generally reports to a Senior Audit Group Manager or executive role

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.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.