Audit Manager II - Financial Crimes in London

Work Location: Dublin, Ireland

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.

Position Summary: 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 for the assessment of the financial crime internal controls as well as issue management, audit planning, risk assessment, ad hoc projects and initiatives.

Specific Responsibilities:

• Assess controls, policies, and procedures to prevent, detect, and mitigate financial crimes such as fraud, money laundering, sanctions evasion, and bribery, and corruption.
• Conduct risk assessments, review regulatory compliance, and evaluate internal controls to ensure adherence to legal and industry standards.
• Collaborate with compliance, risk, and legal teams to recommend improvements and mitigate financial crime risks.
• Support the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Participate in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.
• Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.
• Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads).
• 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 stakeholders, senior management and external auditors for specific and/or overall Audit area.
• Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
• 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.

Experience & Education:

• Undergraduate degree required.
• 7+ years of relevant experience.
• Strong background in Financial Crime Regulations for the Region.
• Certifications such as CAMs, CFE, CGSS, CAFS or regional equivalent.
• Strong knowledge of the Financial Crimes regulations (includes AML, ATF and sanctions), FATF recommendations, AML/ATF and sanctions frameworks, emerging risk, trends, typologies, Insider Risk, Fraud, Anti-Bribery and Anti-Corruption.
• 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.

Risk Management Responsibilities:

• Responsible for identifying and reporting Operational Risk Events in accordance with policy.
• Responsible, along with all colleagues, to contribute in a positive way to TDGF's reputation and the management of Reputational Risk.
• Every employee is expected and required to follow ethical practices at all times, including compliance with applicable policies, legislation and regulations and support positive interactions with TDGF's stakeholders including clients, industry bodies, industry participants, public bodies, regulators and vendors.
• Responsible for good conduct and for contributing to the identification and management of Conduct Risk within their team and function.

TD Policy Requirements:

• It is your responsibility to demonstrate that you are fully aware of and adhere to internal TD Policies that relate to you, your business or other businesses for which you have any level of responsibility.
• You must act with integrity and due skill, care and diligence in carrying out your duties.
• Your actions should always be able to satisfy high standards of scrutiny.
• Management should be kept fully informed at all times of all Regulatory and Compliance issues.

Appendix I: TD Framework & Culture: The TD Framework is the foundation that helps guide the behaviour and shape the culture of the business. It outlines the vision, purpose, and the shared commitments that will help TD grow into the future.

At TD, they are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected, and supported.

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.

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.