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About the Role

The Audit Manager II, Financial Crimes Audit, High Risk Areas is a Financial Crime Professional responsible for supporting and managing the Financial Crimes Audit Program. This includes conducting audits of internal control systems to ensure effectiveness and compliance with regulatory requirements. The role involves assessing financial crime internal controls, issue management, audit planning, risk assessment, and ad hoc projects.

Responsibilities

Conduct audits of systems of internal controls to determine if they are effective and compliant with regulatory requirements.
Assess financial crime internal controls.
Manage issue management, audit planning, and risk assessment.
Undertake ad hoc projects and initiatives.
Serve as Auditor In Charge (AIC) overseeing a team of auditors during audit engagements.
Support the Associate Vice President (AVP) and Senior Audit Group Manager with the management of the Financial Crimes Audit Program.
Assist with the management of the assigned audit portfolio.
Collaborate and coordinate with other audit groups (Models, Information Technology, Business Segment) to conduct audits of various areas across the Bank.
Write and review audit findings and reports.

Requirements

Over 7 years of relevant experience with an 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.
Financial Crime designations (CAMS, CFE, FIS, CFCS) are preferred.
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.
Knowledge of financial products and services.
Understanding and proficiency of data management controls, information technology, models and data analytics.

Skills

Financial Crime Risk Management
Technology
Data
Models
Artificial Intelligence
Machine Learning
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
Enhanced Due Diligence
Customer Risk Rating
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
Data Analytics
Audit
Monitoring
Testing
Quality Assurance
Quality Control
Communication
Interpersonal Skills
People Management
Project Management
Managing Competing Priorities
Software Tools
Windows Applications
Data Analysis
Reporting Techniques
Negotiation
Influence
Judgment
Discretion
Collaboration
Oral Communication
Written Communication
Specialist Auditing
Integration of Cross-Functional Processes
Financial Products
Financial Services
Data Management Controls
Information Technology
Models
Data Analytics

Location

Toronto, Ontario, Canada

Work Type

Full-time

Experience Level

Over 7 years of relevant experience

Education Level

Undergraduate degree
Relevant professional certifications
Accounting designations

Salary/Compensations

$96,900 - $136,200 CAD

Benefits

Growth opportunities
Skill development
Health and well-being benefits
Savings and retirement programs
Paid time off
Banking benefits and discounts
Career development
Reward and recognition programs
Training programs
Competitive benefits plan
Online learning platform
Mentoring programs

About the Company

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores.
Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world.
More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience.
TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing.
Together, we are reimagining what banking can be for our clients, colleagues and communities.

Equal Opportunity

TD is committed to providing fair and equitable compensation opportunities to all colleagues.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals.
Here at TD, we hire and develop the best.
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.