Sr Audit Group Manager - Wealth Management US

Work Location:

Mount Laurel, New Jersey, United States of America

Hours:

40

Pay Details:

$119,110 - $193,550 USD

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.

Line of Business:

Audit

The Senior Audit Group Manager leads and develops a team of audit professionals and oversees, plans and executes audits and/or projects of varying complexity and may act as a subject matter expert in own area of expertise. Provides guidance, leadership, coaching and development to ensure operational results and professional/personal development objectives are achieved for the overall group.

Job Responsibilities:

• 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

• Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope

• People Manager role that generally manages a team greater than 5 Audit professionals/specialists

• Strategic advisor to leadership team on the management of the portfolio and financials, with deep industry, external/internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management/enterprise areas

• Facilitates key strategic audit discussions and provides thought leadership to executives

• Highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business lines

• Sets operational team direction and collaborates with others to execute on common goals

• Focuses on long term planning for functional area

• Ability to process and handle confidential information with discretion

• May participates on or leads various projects/ division initiatives as needed

• Demonstrates TD leadership Core Values

• Recognizes team members' contributions

• Strong presentation skills when delivering training and presentation at the division level, industry conferences, workshops, etc.

Job Requirements:

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required

• 10+ years of relevant experience

• Advanced knowledge of audit standards, procedures, laws, rules and regulations

• Advanced knowledge of risk management environment, standards, regulations and mitigation

• Knowledge of current and emerging trends

• Skilled in managing budgets and resource allocation.

• Skilled in mentoring, coaching and performance management

• Skilled in using computer applications including MS Office

• Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit

• Ability to communicate effectively in both oral and written form

• Ability to work collaboratively and build relationships across teams and functions

• Ability to work successfully as a member of a team and independently

• Ability to exercise sound judgement in making decisions

• Ability to analyze, organize and prioritize work while meeting multiple deadlines

• Ability to establish goals and objectives that support the strategic plan

• Ability to contribute to strategic direction of the audit function and provide advice to senior leadership

• Ability to forecast initiatives and demand in order to develop annual strategic audit plan

Preferred Job Requirements:

• Wealth Management

• More specifically in Wealth, depth of risks, control or audit experience with broker/dealers, high net-worth investing, mutual funds, investment trusts and/or banking services.

• Strong knowledge of the U. S. Wealth Management regulatory environment as it relates to FINRA, OCC and other applicable regulations.

• CFP, CPA, FINRA SIE, Series 6, 7 and/or 24, CFE and CFIRS

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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 base salary and variable compensation/incentive awards (e. g. , eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more (/hrportal. ehr. com/tdtotalrewards)

Additional Information:

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