Sr Audit Group Lead - Global AML Audit

TD Bank Group
Mount Laurel
13 Sep 2019
01 Oct 2019
Job role
Contract type
Full time
Company Overview

About TD Bank, America's Most Convenient Bank??
TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid–Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth??, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit . Find TD Bank on Facebook at and on Twitter at .
TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto–Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto–Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit .

Job Description

The Senior Audit Group Manager is accountable for leading and developing a team dynamic audit professionals and leading the planning, execution and/or divisional support for audits for Lines of Business and/or enterprise wide Functional areas.


– Provides people management leadership by hiring the best talent, setting goals, developing staff, leading employee performance and compensation decisions, promoting collaboration and handling any/all disciplinary actions, as required

– Provides overall audit program management and completion of the Divisions audit plan throughout the year, ensuring audits are conducted according to the GAM standards

– Develops and executes efficient and effective audit plans to ensure appropriate coverage for the lines of business and/or functional areas

– Evaluates internal and external risks for assigned areas

– Designs audit plan to ensure proper coverage of significant risks

– Effectively executes and integrates findings for areas of specialization

– Supports negotiating sensitive audit findings with management and assures proper escalation has occurred

– Contributes to, and/or reviews, area(s) of expertise in the final audit report following CAE review and approval

– Provides industry, regulatory, and business–specific subject matter expertise within areas of responsibility

– Provides meaningful recommendations to audit procedures and programs

– Completes Post Audit Feedback Form for self and team upon completion of the audit

– Communicates status and raises if needed

– Participates in post–audit critique meetings

– Participates in completion of the quarterly Control Dashboard process

– Accountable for audit quality, sufficiency and Executive readiness for SME area

– Responsible for key management meetings, touch points, and status updates for business/ function

– Provides information for Senior Management and Board Level reporting for SME area; Ensures partners are informed

– Reviews reports from QA team, peer reviews and Regulator feedback (if their audits are selected) and makes necessary improvements for SME area

– Contributes to the completion of the annual RAP and Annual Audit Plan for assigned area(s)

– Concludes and reports on the adequacy and effectiveness of internal controls and risk management including second line of defense

– Key member in Centers of Excellence

– Participates in continuous monitoring/call programs

– Leads various projects/ division initiatives as needed

– Demonstrates TD leadership core values

– Recognizes team members' contributions

– Participates in, and actively supports implementation of department improvement initiatives

  • Must be eligible for employment under regulatory standards applicable to the position.

  • Qualifications

    – Bachelor's degree required; Master's degree preferred

    – 12+ years related AML experience required

    – Relevant certification(s) required

    – PC skills (MS Office Suite)

    – Excellent oral and written communication skills

    – Travel 35% or more

    – Works well independently and with others

    – Completes tasks timely and accurately

    – Raises issues and delays quickly

    – Effectively handles competing priorities for self

    – Excellent risk based decision–making to make an impact while valuing speed

    – Experienced awareness of laws and regulations governing the banking industry that impact assigned areas

    – Authority in functional audit knowledge and skills

    – Expert knowledge in multiple subject matter areas

    – Expert presenter; delivers effective presentations/training at the division level, industry conferences, workshops, etc.

    – Expert conflict resolution skills

    – Expert at building and maintaining relationships within and external to audit

    – Expert analytical skills

    – Adapts, promotes, and champions change

    – Leads teams without direct authority

    – Assumes ownership and promotes accountability

    – Thrives in fast–paced and challenging environment

    – Maintains relationships with the business while conducting audits

    – Consults and serves as a point of contact for assigned business lines

    – Maintains external auditor and regulatory relationships

    – Leads a team of professional resources, and actively develops, recruits, trains, coaches and conducts performance assessments for team members

    – Recognizes team members' contributions




    At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

    If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

    EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.