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Sr Audit Manager, Global AML and Compliance

Company: TD Bank
Location: Charlotte
Posted on: January 15, 2021

Job Description:

Company OverviewAbout 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 .Department OverviewUnder the direction of the AVP Global AML Audit, the Senior Audit Group Manager Global AML assists with the development and execution of the annual audit plan. This includes all reporting requirements to management and various committees as well as a key point of contact and for all key stakeholders. In addition, the candidate will be responsible for the people management responsibilities and development of a team of AML/BSA internal audit professionals. Finally, the candidate will help to oversee all strategic, innovation and data analytics projects for the advancement of the internal audit activities. The Senior Audit Manager is accountable for providing specialized in-depth audit expertise and responsible for contributing to the planning, risk assessment and execution of audits and related processes enterprise and/or division wide.Job DescriptionThe Senior Audit Manager is accountable for providing specialized in-depth audit expertise and responsible for contributing to the planning, risk assessment and execution of audits and related processes enterprise and/or division wide.Provide AML/BSA/OFAC subject matter expertise, this includes industry best practices as well as key regulatory requirements with regards to the areas of AML/BSA/OFAC and Anti-Bribery and Anti-Corruption (ABAC). Help to innovate and oversee the strategic initiatives and projects for the group including the advancement of our AML/BSA audit programs and data analytics strategies.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 requiredMay support audits for a particular business, function or project as a subject matter expertiseHighly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business linesDirects, oversees, plans and executes efficient and effective audits to ensure appropriate coverage for areas of expertiseMay leads and execute audits and has an overall responsibility for the completion of the auditEvaluates internal and external risks for assigned business linesCommunicates recommendations and process improvements to management in area(s) of expertiseMonitors business line projectsMay contribute to, and/or review, area(s) of expertise in the final audit report following CAE review and approvalProvides meaningful recommendations to audit procedures and programsCompletes Post Audit Feedback Form for selfCommunicates status and escalate issuesClears review notes following each reviewParticipates in post-audit critique meetingParticipates in completion of the quarterly Control Dashboard processReviews reports from QA team, peer reviews and Regulator feedback and makes necessary enhancements, as requiredContributes to completion of the annual RAP and Annual Audit Plan for assigned area(s)Key member in Centers of ExcellenceParticipates in continuous monitoring/call programRequirementsBachelor's degree required; Master's degree preferred8 years related experience required; Banking experience preferredRelevant certification requiredPC skills (MS Office Suite)Excellent oral and written communication skillsAdvanced level of critical thinking, risk based decision making, problem solving and conflict resolution skillsTravel 35% or moreWorks well independently and with othersCompletes tasks timely and accuratelyEscalates issues and delays quicklyEffectively manages competing priorities for selfAdvanced awareness of laws and regulations governing the banking industry that impact assigned areaAdvanced functional audit knowledge and skillsKnowledge in subject matter areasProficient conflict resolution skillsAdapts, promotes, and champions changeAssumes ownership and promotes accountabilityThrives in fast-paced and challenging environmentsPreferred:--- Multiple years of AML/BSA industry and audit experience is required in a management oversight role --- A business and/or finance accreditation including CPA, MBA, FRM, CFA and CAMS designation.Must be eligible for employment under regulatory standards applicable to the position.Hours40.0InclusivenessAt 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 USWAPTDOtd.com . 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.Brand: TD Bank AMCBJob ID: 295230BREmployment Type: Full TimeJob Area: AuditFunction: AuditorIndustry: Environmental Engineering

Keywords: TD Bank, Charlotte , Sr Audit Manager, Global AML and Compliance, Executive , Charlotte, North Carolina

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