Audit Manager I

Work Location :
London, United Kingdom
Hours:
35
Line of Business:
Audit
Pay Details:
We\’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
Job Description:
Department Overview
The TD Securities Europe and Asia regional audit team, based in London and Dublin, is responsible for performing operational audits within TD Securities in Europe/Asia Pacific, whilst also supporting the broader TDS Audit team globally as required.
Risk-based audit coverage includes front office business activities and relevant support functions, including middle office, back-office operations, Compliance, AML, Finance and HR.
Job Description Summary
Execute audits for an assigned business, function, or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity. Manages/leads a number of moderately complex audits and has responsibility for completion of the audit.
KEY ACCOUNTABILITIES
CUSTOMER

• 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.
• Lead/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.

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 own business area.
• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level.
• Prioritize and manage own workload to deliver quality results and meet assigned timelines.
• Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate.
• Develop and deliver audit findings, presentations / communications to management or broader audience.
• Contribute to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.

EMPLOYEE / TEAM

• Continuously enhance knowledge / expertise in own area Support 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.
• 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.

BREADTH & DEPTH

• Work as an audit subject matter expert and may coach and educate others.
• Oversee and/or independently perform audits from end to end.
• May lead moderately complex audits and have responsibility for completion of the audit.
• Undertake and complete a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise.
• Ability to process and handle confidential information with discretion.
• Generally, reports to an Audit Group Manager or Senior Audit Group Manager role

Execute audits for an assigned business, function, or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity. Manages/leads a number of moderately complex audits and has responsibility for completion of the audit.
EXPERIENCE & EDUCATION

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent
• Internal audit experience essential, although consideration will also be given to candidates with other relevant/exceptional experience.
• Relevant knowledge/experience of Capital Markets.
• Financial accounting designation (CA, CPA) or other relevant qualification, i.e., MBA, CFA;
• Degree educated.
• Relevant regulatory knowledge.
• Analytical skills in assessing risk, issues and critical thinking/challenging the status quo.
• Effective time management skills and ability to meet tight deadlines.
• Strong communication skills (oral and written).
• Strong interpersonal, organizational and relationship management skills.
• Ability to work independently and in teams, and to manage competing priorities.
• Participate in/actively support departmental initiatives.
• Demonstrate TD leadership core values.

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 investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.
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.
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
If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.

• Competitive salary and a broad range of employee benefits
• Your paycheck is just the start, experience rewards that truly add value.
• Competitive salary and a broad range of employee benefits
• Your paycheck is just the start, experience rewards that truly add value.

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