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TD Bank Sr Audit Manager Financial Crimes Enterprise High Risk Areas/Fraud in Falmouth, Maine


Job Title:

Sr Audit Manager Financial Crimes Enterprise High Risk Areas/Fraud

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 over 9.8 million customers with a full range of retail, small business and commercial banking products and services at more than 1,100 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Auto Finance, a division of TD Bank, N.A., offers vehicle financing and dealer commercial services. TD Bank and its subsidiaries also offer customized private banking and wealth management services through TD Wealth®. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit . Find TD Bank on Facebook at and on Twitter at and .

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 .

We offer a competitive salary and benefit program, including: comprehensive, affordable health care through medical, dental, and vision coverage; financial security with life and disability insurance; opportunities to save using health savings and flexible spending accounts; retirement benefits to help prepare for the future; paid time off and work/life benefits to maintain a good balance.

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Department Overview:

Our team of trusted audit professionals interact with every part of the Bank to provide strategic guidance and independent oversight. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to our business. At the heart of audit is our specialization in all the businesses across the bank. Safeguarding the reputation of TD's good governance depends on us. We’re counted on to provide recommendations to enhance operational performance, at every single level to foster meaningful process improvements and ensure adherence to internal and external regulations. We crunch the data, consult with our partners and stakeholders, and present our findings to mitigate the risks of today and around the corner and help keep our daily operations running smoothly for our customers.


United States

Job Requirements:

Job Description

Depth & Scope

  • 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

  • May support audits for a particular business, function or project as a subject matter expertise

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

  • Directs, oversees, plans and executes efficient and effective audits to ensure appropriate coverage for areas of expertise

  • May leads and execute audits and has an overall responsibility for the completion of the audit

  • Evaluates internal and external risks for assigned business lines

  • Communicates recommendations and process improvements to management in area(s) of expertise

  • Monitors business line projects

  • May contribute to, and/or review, area(s) of expertise in the final audit report following CAE review and approval

  • Provides meaningful recommendations to audit procedures and programs

  • Completes Post Audit Feedback Form for self

  • Communicates status and escalate issues

  • Clears review notes following each review

  • Participates in post-audit critique meeting

  • Participates in completion of the quarterly Control Dashboard process

  • Reviews reports from QA team, peer reviews and Regulator feedback and makes necessary enhancements, as required

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

  • Key member in Centers of Excellence

  • Participates in continuous monitoring/call program

  • 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.


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

  • 8+ years related experience required; Banking experience preferred

  • Relevant certification required

  • PC skills (MS Office Suite)

  • Excellent oral and written communication skills

  • Advanced level of critical thinking, risk based decision making, problem solving and conflict resolution skills

  • Travel 35% or more

  • Works well independently and with others

  • Completes tasks timely and accurately

  • Escalates issues and delays quickly

  • Effectively manages competing priorities for self

  • Advanced awareness of laws and regulations governing the banking industry that impact assigned area

  • Advanced functional audit knowledge and skills

  • Knowledge in subject matter areas

  • Proficient conflict resolution skills

  • Adapts, promotes, and champions change

  • Assumes ownership and promotes accountability

  • Thrives in fast-paced and challenging environments

  • Advanced skills in building and maintaining relationships within, and external, to audit

  • Strong ability to develop relationships with the business while conducting audits

  • Consults assigned lines of business (trusted advisor)

  • May manage a team of professional resources indirectly and actively trains /coaches audit staff

  • Proficient influencing skills

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



Job Details:

Job Profile Summary

The Senior Audit Manager, Financial Crimes Enterprise High Risk Areas is responsible managing the audit plan, execution and reporting relating to coverage of end-to-end high-risk areas of financial crimes on a global basis, working closely with our first line audit teams. The team is comprised of two dedicated teams focused on US and Non-US areas. The role requires extensive experience on investigative, and compliance skills as well as audit background to allow for assessment of outcomes and risks beyond the testing of controls.


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.


Maine, New Jersey, New York, South Carolina


Falmouth, Greenville, Mount Laurel, New York


Preferred experience/certifications:

CAMS – Certified Ani-Money Laundering Specialist

CFCS - Certified Financial Crime Specialist

CFE - Certified Fraud Examiner

CIA - Certified Internal Auditor

CPA - Chartered Professional Accountant

Work Location:

1 Vanderbilt Avenue Corporate, 70 Gray Road West Falmouth Crossing, Greenville Campus Building A - 200 Carolina Point Parkway, Mt Laurel - Operations Center Bldg 1 - 9000 Atrium Way

Business Line:


Job Category - Primary:


Job Category(s):


State (Primary):

New Jersey

State #2:

South Carolina

State #3:

New York

State #4:


City (Primary):

Mount Laurel

City #2:


City #3:

New York

City #4:


Time Type:

Full Time

Employment Type:


Pay Range:

$112,900 - $183,460 annually

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