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Sr Audit Manager, Global AML and Compliance

295230BR
Audit
Statewide – Mount Laurel, NJ

Additional Locations: Falmouth, ME Boston, MA Charlotte, NC Philadelphia, PA Greenville, SC

January 4, 2021

Company Overview

About TD Bank, America’s Most Convenient Bank®

TD Bank, America’s Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US.

TD Bank, America’s Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol “TD”. To learn more, visit www.td.com.

Department Overview

Under the direction of the AVP Global AML Audit, the Senior Audit Group Manager Global AML assists with the development and execution of the annual audit plan. This includes all reporting requirements to management and various committees as well as a key point of contact and for all key stakeholders. In addition, the candidate will be responsible for the people management responsibilities and development of a team of AML/BSA internal audit professionals. Finally, the candidate will help to oversee all strategic, innovation and data analytics projects for the advancement of the internal audit activities. The Senior Audit Manager is accountable for providing specialized in-depth audit expertise and responsible for contributing to the planning, risk assessment and execution of audits and related processes enterprise and/or division wide.

Job Description

The Senior Audit Manager is accountable for providing specialized in-depth audit expertise and responsible for contributing to the planning, risk assessment and execution of audits and related processes enterprise and/or division wide.

Provide AML/BSA/OFAC subject matter expertise, this includes industry best practices as well as key regulatory requirements with regards to the areas of AML/BSA/OFAC and Anti-Bribery and Anti-Corruption (ABAC).
Help to innovate and oversee the strategic initiatives and projects for the group including the advancement of our AML/BSA audit programs and data analytics strategies.
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
May support audits for a particular business, function or project as a subject matter expertise
Highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business lines
Directs, oversees, plans and executes efficient and effective audits to ensure appropriate coverage for areas of expertise
May leads and execute audits and has an overall responsibility for the completion of the audit
Evaluates internal and external risks for assigned business lines
Communicates recommendations and process improvements to management in area(s) of expertise
Monitors business line projects
May contribute to, and/or review, area(s) of expertise in the final audit report following CAE review and approval
Provides meaningful recommendations to audit procedures and programs
Completes Post Audit Feedback Form for self
Communicates status and escalate issues
Clears review notes following each review
Participates in post-audit critique meeting
Participates in completion of the quarterly Control Dashboard process
Reviews reports from QA team, peer reviews and Regulator feedback and makes necessary enhancements, as required
Contributes to completion of the annual RAP and Annual Audit Plan for assigned area(s)
Key member in Centers of Excellence
Participates in continuous monitoring/call program

Requirements

Bachelor’s degree required; Master’s degree preferred
8+ years related experience required; Banking experience preferred
Relevant certification required
PC skills (MS Office Suite)
Excellent oral and written communication skills
Advanced level of critical thinking, risk based decision making, problem solving and conflict resolution skills
Travel 35% or more
Works well independently and with others
Completes tasks timely and accurately
Escalates issues and delays quickly
Effectively manages competing priorities for self
Advanced awareness of laws and regulations governing the banking industry that impact assigned area
Advanced functional audit knowledge and skills
Knowledge in subject matter areas
Proficient conflict resolution skills
Adapts, promotes, and champions change
Assumes ownership and promotes accountability
Thrives in fast-paced and challenging environments

Preferred:
• Multiple years of AML/BSA industry and audit experience is required in a management oversight role
• A business and/or finance accreditation including CPA, MBA, FRM, CFA and CAMS designation.

  • Must be eligible for employment under regulatory standards applicable to the position.
  • Hours

    40.0

    Inclusiveness

    At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

    If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

    EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.