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Senior Auditor (US) – Compliance at TD Bank, Mount Laurel, NJ – focus on U.S. consumer compliance audits.
Competitive pay 63k-95k USD, growth opportunities, and comprehensive benefits package.
Job Description
The Senior Auditor is responsible to perform and document audit test steps for assigned audits and is generally focused on more critical areas of the audit. The Senior Auditor participates in some aspects of planning of audits and may lead less complex audits/projects. They independently assess control design and operating effectiveness during audits, and provides on the job training for staff auditors.
Senior Auditor – U.S. Compliance Audit
The Senior Auditor – 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, TILA, HMDA, RESPA, EFTA, etc.) and sufficiency of systems, processes, and oversight to support regulatory compliance. This role supports audit engagements through evaluating , documenting, and testing the design and operating effectiveness of internal controls under manager guidance. The Senior Auditor is responsible for execution of control testing, identification of findings, and delivery of high-quality audit workpapers and reporting.
Depth & Scope
Experienced audit professional role providing guidance / assistance to function supported
Requires sound audit or business conceptual knowledge
Independently performs tasks from end to end as assigned
Ability to process and handle confidential information with discretion
Education & Experience
Undergraduate degree required
3+ years of relevant experience
Preferred Qualifications
- Banking industry audit experience with focus on Governance, Risk & Oversight Function preferred
- Relevant professional certifications (e.g., CIA, CPA, CRMA) or progress towards preferred
- 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
Customer Accountabilities
- Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion
- Executes testing of controls such as but not limited to walkthroughs (documentation), test scripts (development and execution), and issue identification
- Helps coordinate communication with the stakeholders throughout the audit process
- Supports the team in reviewing internal controls and sharing findings and suggestions with both the stakeholders and audit leadership
- Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
- Provides input to audit projects/initiatives as a representative for area of specialization
Shareholder Accountabilities
- Adheres to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contributes 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
- Prioritizes and manages own workload to deliver quality results and meet assigned timelines
- Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools and techniques and applies them where appropriate
- Assists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit process
- Assesses / identifies key issues and escalates to appropriate levels and relevant stakeholders where required
- Contributes to the analysis, due diligence and implementation of initiatives within defined area of responsibility
Employee/Team Accountabilities
- Continuously enhances knowledge / expertise in own area
- Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues / points of interest
- Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
- Establishes effective relationships across multiple businesses
- Participates in knowledge transfer within the team and business units
- Works to achieve individual goals and support other team members in the achievement of team goals and divisional objectives
Physical Requirements
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
Domestic Travel – Occasional
International Travel – Never
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment - Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying (under 25 lbs.) – Occasional
Lifting/Carrying (over 25 lbs.) – Never
Squatting – Occasional
Bending – Occasional
Kneeling – Never
Crawling – Never
Climbing – Never
Reaching overhead – Never
Reaching forward – Occasional
Pushing – Never
Pulling – Never
Twisting – Never
Concentrating for long periods of time – Continuous
Applying common sense to deal with problems involving standardized situations – Continuous
Reading, writing and comprehending instructions – Continuous
Adding, subtracting, multiplying and dividing – Continuous
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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.
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
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.
If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We’re committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
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
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Accommodation
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email 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 applicant process.