Audit Manager I

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.

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