Audit Manager II, Financial Crimes, High Risk Areas (1062)

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.

Position Overview

The position of Audit Manager II, Financial Crimes Audit, High Risk Areas resides within the Financial Crimes Centre of Excellence of TD's Audit Department. The Audit Manager II  is a Financial Crime Professional, resilient, dynamic, trusted advisor and adaptive leader with knowledge and experience with facets of the Financial Crime Risk Management Program including technology, data, models and emerging technologies such as Artificial Intelligence and Machine Learning.

The position provides support and the management of the Financial Crimes Audit Program which includes conducting audits of the systems of internal controls are effective and compliant with regulatory requirements. You will be accountable and responsible to the assessment of the financial crime internal controls as well as issue management, audit planning, risk assessment, adhoc projects and initiatives.

The Audit Manager II, Financial Crimes Audit, High Risk serves in capacity as Auditor In Charge (AIC) overseeing team of auditors during audit engagements.

The Audit Manager II is a Financial Crime Professional, resilient, dynamic, trusted advisor, relationship manager, people manager and adaptive leader with knowledge and experience with different facets of the Financial Crime Risk Management Program including Governance, Management Reporting, Organization Structure and Staffing, Policies, Standards, Procedures, Risk Assessment, Assessment of New Products and Initiatives, Training, Regulatory Compliance Management, Customer Due Diligence/Know your Customer, Enhance Due Diligence, Customer Risk Rating including High Risk Customer Types (Money Service Business, Politically Exposed Person, Heads of International Organizations etc.) Investigations, Demarketing, Regulatory Reporting (Suspicious Transaction Reports, Large Cash Transaction Report, Electronic Funds Transfer Reports, Terrorist Property Report), Transaction Monitoring, Sanctions, Record Retention, as well as data analytics, technology, data, models and emerging technologies such as Artificial Intelligence and Machine Learning.

The Audit Manager II supports the Associate Vice President (AVP), Financial Crimes Audit, High Risk Areas and Senior Audit Group Manager, Financial Crimes Audit, High Risk Areas with the management of the Financial Crimes Audit Program which includes conducting audits of the systems of internal controls to determine if they are effective and compliant with regulatory requirements.  Additionally, the Audit Manager II assist with management of the assigned audit portfolio, issue management, audit planning, risk assessment, adhoc projects and strategic initiatives.

The role provides opportunity for collaboration and coordination with other audit groups (Models, Information Technology, Business Segment) to conduct audits of the various areas across the Bank including the Business Segments (Canadian Business Banking, Canadian Personal Banking, Wealth Management), Financial Crime Risk Management (2nd line) and Corporate Functions.

Preferred:

• Financial Crime designations (CAMS, CFE, FIS, CFCS)

• Strong knowledge of the Financial Crimes regulations (includes AML, ATF and sanctions), FATF recommendations, AML/ATF and sanctions frameworks, emerging risk, trends, typologies.

• Strong knowledge of FINTRAC Guidelines and Interpretations, Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulations, Criminal Code, Sanctions Regulations

• Knowledge of Financial Crimes Governance, Reporting, Regulations, Regulatory Compliance Management, Policy, Standards, Procedures, Customer Due Diligence, Know Your Customer, Enhance Due Diligence, Customer Risk Rating, Investigations, Sanctions, Money Service Business, Politically Exposed Person, Heads of International Organizations, High Risk Customer Types, Regulatory Reporting (Large Cash Transaction Reports (LCTRs), Electronic Funds Transfer Reports (EFTRs), Terrorist Property Reports (TPRs), Suspicious Transaction Reports  (STRs)) and Transaction Monitoring.

• Experience and proficiency in audit, monitoring and testing, quality assurance, quality control.

• Strong communication, interpersonal and people management skills, project management and managing competing priorities.

• Ability to write and review audit findings and report

• Knowledge of financial products and services.

• Understanding and proficiency of data management controls, information technology, models and data analytics

Job Requirements :

• Over 7 years of relevant experience with undergraduate degree

• Relevant professional certifications, accounting designations

• Advanced knowledge of business processes and operations, risk, change and project methodologies, organizational practices and business transformation

• Expertise in using software tools, windows applications, data analysis and reporting techniques

• A strong team leader who can negotiate and influence key partners including employees

• Aptitude in exercising sound judgment while making decisions and handle confidential information with discretion

• Ability to work collaboratively and communicate effectively in both oral and written form

• Deep knowledge of specialist auditing and integration of cross functional processes to undertake and complete a variety of audit projects and initiatives