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About the Role

Experienced audit professional role providing guidance and assistance to the supported function. Requires sound audit or business conceptual knowledge. Independently performs assigned tasks from end to end. Ability to process and handle confidential information with discretion. Utilizes AI and emerging technologies to enhance audit planning, testing, reporting, and operational efficiency.

Responsibilities

• Conducts audit work based on established audit plans and executes the audit in accordance with established standards ensuring completion.
• Executes testing of controls such as walkthroughs, test scripts (development and execution), and issue identification.
• Helps coordinate communication with stakeholders throughout the audit process.
• Supports the team in reviewing internal controls and sharing findings and suggestions with stakeholders and audit leadership.
• Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
• Provides input to audit projects/initiatives as a representative for area of specialization.
• Adheres to internal policies, procedures, enterprise frameworks, methodologies, and applicable regulatory guidelines.
• Contributes to the review of internal processes and activities and assists in identifying control weaknesses/failures and potential opportunities to improve operational efficiencies for own business area.
• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level.
• Prioritizes and manages own workload to deliver quality results and meet assigned timelines.
• Keeps current on emerging trends and developments, grows knowledge of the business, analytical tools and techniques, and applies them where appropriate.
• Assists in preparing and sharing audit findings and presentation materials with management and broader audiences, helping ensure clear and effective communication throughout the audit process.
• Assesses and identifies key issues and escalates to appropriate levels and relevant stakeholders where required.
• Contributes to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.
• Continuously enhances knowledge and expertise in own area.
• Supports a positive work environment that promotes service to the business, quality, innovation, and teamwork and ensures timely communication of issues/points of interest.
• Identifies and recommends opportunities to enhance productivity, effectiveness, and operational efficiency.
• Establishes effective relationships across multiple businesses.
• Participates in knowledge transfer within the team and business units.
• Works to achieve individual goals and supports other team members in the achievement of team goals and divisional objectives.

Requirements

• Undergraduate degree required.
• 3+ years of relevant experience.
• Knowledge of AI, machine learning concepts, and emerging technology risks.
• Demonstrated ability to perform data-driven audits and leverage technology to enhance audit effectiveness.

Skills

• AI
• Machine learning concepts
• Emerging technology risks
• Data-driven audits
• Technology utilization

Location

• New York, New York, United States of America

Work Type

• Full-time

Experience Level

• 3+ years of relevant experience
• Senior

Education Level

• Undergraduate degree

Salary/Compensations

• $75,000 - $85,000 USD

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off (Vacation PTO, Flex PTO, Holiday PTO)
• Banking benefits and discounts
• Career development
• Reward and recognition
• Training programs
• Mentoring programs

About the Company

• TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients.
• With more than 6,500 professionals operating out of 40 cities across the globe, TD Securities strives to make every interaction, product, and experience remarkably human and refreshingly simple.
• Services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
• In 2023, TD Securities acquired Cowen Inc., offering clients access to a premier U.S. equities business and a highly-diverse equity research franchise, while growing its strong, diversified investment bank.
• Together, TD Securities is reimagining what banking can be for clients, colleagues, and communities.

Equal Opportunity

• TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
• If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.