Audit Manager - Consumer Compliance

Work Location

Greenville, South Carolina, United States of America

40

$75,020 - $125,180 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  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.

Audit

The Audit Manager I - U.S. Compliance Audit is responsible for executing and leading audit engagements based on established audit plans in alignment with applicable policies and regulatory guidelines for TD Bank's Governance, Risk & Oversight Functions. The US Consumer Compliance team is primarily responsible for auditing US Consumer Compliance regulations (including but not limited to UDAAP, Fair Lending, TILA, HMDA, RESPA, TISA, etc.).

The Audit Manager I will participate in the planning, execution, and documentation of moderately complex to complex audits/projects to ensure they are aligned with management expectations and executed timely. This role will mentor staff auditors, manage relationships with senior management, and contribute to the continuous improvement of risk management practices.

• Generally leads a team focused on assigned audit and generally assumes the lead position on the audit, providing supervision and assignments to team members as Auditor In Charge as well as reviewing work papers completed by staff and drafting audit report
• Responsible for time and staffing budgets for upcoming audits
• Responsible for planning of audits
• Responsible for contact with management regarding audit scope, status, and findings
• Works at direction of Audit Manager
• May perform testing procedures for more critical areas of audits
• Provides on-the-job training for staff
• Supervises findings follow up tasks with management and audit staff
• Is a subject matter expert in at least one area of discipline
• Works independently but receives assistance/coaching from the audit manager
• May be Auditor in Charge on an Audit
• May participate and/or lead assigned special projects
• Provides feedback on staff performance on an audit project basis
• Assists in providing feedback on completion of staff evaluations
• Updates, revises, and improves existing audit procedures and programs
• Adds value through consultative interactions with business line management

• Undergraduate degree required
• 5+ years of related Audit experience required

• Experience as a former OCC, CFPB, FDIC, FRB, or NCUA compliance examiner
• Banking industry audit experience with focus on Governance, Risk & Oversight of US Consumer Compliance Function preferred
• Relevant professional certifications, accounting designations preferred (e.g., CIA, CRCM)
• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment
• Strong analytical and problem-solving skills
• Ability to work independently and collaboratively in a team environment
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools

• Understands and supports the Banks Customer Service Strategy
• Considers the impact of advice and decisions on the well-being of the Bank, as well as its customers, its employees and stakeholders
• Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity
• Leads, coaches and models quality service delivery at every interaction
• Supports the ongoing improvement of the partner/Customer experience

• Sets appropriate context for the business unit/function to enable optimal performance and alignment…