Sr Audit Manager, Global AML and Compliance
Company: TD Bank
Location: Charlotte
Posted on: January 15, 2021
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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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