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About the Role
This role supports the development and implementation of audit programs, participates in audit engagements, and executes various audit documentation. You will oversee or lead audits, manage communications with stakeholders, and contribute to audit initiatives. The position also involves leading the implementation of policies and acting as an audit lead or advisor for your area of specialization.
Responsibilities
- Support the development and implementation of audit programs by contributing insights and assisting with planning activities.
- Participate in audit engagements across multiple areas, helping ensure audits are conducted in line with established standards and timelines.
- Execute the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.
- Complete L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads).
- Oversee/lead audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
- Oversee/lead the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area.
- Contribute to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
- Lead / manage the integrated implementation of policies / processes / procedures / changes across multiple functional areas.
- Act as the audit lead or audit advisor to management and respective teams for area of specialization. Report on emerging trends, identifying issues and opportunities and recommending action to senior management.
- Facilitate key discussions and provide thought leadership to executive audience.
- Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for their business area.
- Actively manage relationships with business lines/ corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements.
- Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank.
- Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required.
- Maintain a culture of risk management and control, supported by effective processes and sound infrastructure in alignment with risk appetite.
- Participate in cross-functional / enterprise initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations.
- Provides thought leadership and/or industry knowledge for own area of expertise.
- Encourage a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest.
- Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency.
- Work effectively as a team, supporting other members of the team in achieving business objectives and providing stakeholders services.
- Participate in knowledge transfer within the team and business units.
- Contribute to the overall performance management process by providing coaching and input into team members' assessment on assigned audits.
- Work autonomously and accountable for acting as a lead within a specialized audit practice area and provide work direction to others.
- Provide seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members.
- May lead and/or provide supervisory oversight to complex audits and ensure completion.
- Knowledge of external competition, industry and/or market trends in relation to own function / business.
- Scope of role may have enterprise impact.
- Undertake and complete a variety of complex audit projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise.
- May oversee and/or independently perform concurrent multiple audits and related tasks from end to end.
- Ability to process and handle confidential information with discretion.
- Generally, reports to a Senior Audit Group Manager or executive role.
Requirements
- Undergraduate degree required
- 7+ years of relevant experience
Skills
- Audit programs development and implementation
- Audit planning
- Audit engagement execution
- Audit documentation (APM, pRCM, Findings Grid, Audit Report)
- L1 reviews and sign-off
- Audit findings follow-up
- Stakeholder communication
- Reporting
- Policy implementation
- Risk management
- Control assessment
- Thought leadership
- Relationship management
- Regulatory compliance
- Problem identification and escalation
- Teamwork
- Coaching
- Specialized audit practice area knowledge
- Handling confidential information
Location
- London, United Kingdom
Work Type
- Full-time
Experience Level
- 7+ years of relevant experience
Education Level
- Undergraduate degree
Salary/Compensations
- Open dialogue with HR Team regarding compensation and pay details is encouraged.
Benefits
- Health and well-being benefits
- Medical coverage
- Paid time off
- Career development
- Reward and recognition programs
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
About the Company
- TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores.
- 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.
- 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
- 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.
- If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.