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About the Role
The TD Securities Europe and Asia regional audit team, based in London and Dublin, is responsible for performing operational audits within TD Securities in Europe/Asia Pacific, whilst also supporting the broader TDS Audit team globally as required. Risk-based audit coverage includes front office business activities and relevant support functions, including middle office, back-office operations, Compliance, AML, Finance and HR.
Responsibilities
- Execute audits for an assigned business, function, or project as part of a team or as an individual contributor and/or provide expertise on audits ranging in complexity.
- Manages/leads a number of moderately complex audits and has responsibility for completion of the audit.
- Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion.
- Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly.
- Manage the ongoing audit communications process with the client during and subsequent to the audit.
- Present objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit management.
- Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
- Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization.
- Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks.
- 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 own business area.
- Develop and provide complex reporting, analysis, and assessments at the functional or enterprise level.
- Prioritize and manage own workload to deliver quality results and meet assigned timelines.
- Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate.
- Develop and deliver audit findings, presentations / communications to management or broader audience.
- Contribute to the analysis, due diligence, and implementation of initiatives within defined area of responsibility.
- Continuously enhance knowledge / expertise in own area.
- Support 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.
- Establish effective relationships across multiple businesses.
- Participate in knowledge transfer within the team and business units.
- Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives.
- Work as an audit subject matter expert and may coach and educate others.
- Oversee and/or independently perform audits from end to end.
- Undertake and complete a variety of projects and initiatives, may include the integration of cross functional processes within own area of expertise.
- Process and handle confidential information with discretion.
Requirements
- Internal audit experience essential, although consideration will also be given to candidates with other relevant/exceptional experience.
- Relevant knowledge/experience of Capital Markets.
- Analytical skills in assessing risk, issues and critical thinking/challenging the status quo.
- Effective time management skills and ability to meet tight deadlines.
- Strong communication skills (oral and written).
- Strong interpersonal, organizational and relationship management skills.
- Ability to work independently and in teams, and to manage competing priorities.
- Participate in/actively support departmental initiatives.
- Demonstrate TD leadership core values.
Skills
- Subject matter expertise
- Risk assessment
- Internal controls
- Audit planning
- Communication
- Relationship management
- Analytical skills
- Critical thinking
- Time management
Location
- London, United Kingdom
Work Type
- Full-time
Experience Level
- Mid-level
Education Level
- Undergraduate degree or relevant professional certifications
- Financial accounting designation (CA, CPA) or other relevant qualification, i.e., MBA, CFA
- Degree educated
Salary/Compensations
- Open dialogue with HR Team regarding compensation and pay details for this role.
Benefits
- Health and well-being benefits
- Medical coverage
- Paid time off
- Career development
- Reward and recognition programs
- Training programs
- Online learning platform
- Mentoring programs
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.