Sr Audit Group Manager - Wealth Management (US)

$119,110 - $193,550/Yr

TD Bank - Greenville, SC

Full-time - Senior

Greenville, SC

10,001+ employees

Credit Intermediation and Related Activities

About the position

The Senior Audit Group Manager in Wealth Management at TD Bank is responsible for leading and developing a team of audit professionals. This role involves overseeing, planning, and executing audits of varying complexity while acting as a subject matter expert. The manager provides guidance and leadership to ensure operational results and professional development objectives are met, while also serving as a strategic advisor to the leadership team.

Responsibilities

• 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 required
• Oversees and leads a large, significant and/or highly complex, and diverse audit team for an area of significant risk, complexity or scope
• Acts as a strategic advisor to leadership on the management of the portfolio and financials, recognizing and anticipating emerging trends and identifying operational efficiencies
• Facilitates key strategic audit discussions and provides thought leadership to executives
• Manages audits for multiple, significant complex businesses, functional areas and/or global business lines
• Sets operational team direction and collaborates with others to execute on common goals
• Focuses on long term planning for functional area
• Processes and handles confidential information with discretion
• Participates on or leads various projects/division initiatives as needed
• Demonstrates TD leadership Core Values and recognizes team members' contributions
• Delivers training and presentations at the division level, industry conferences, workshops, etc.

Requirements

• Undergraduate degree or relevant professional certifications, accounting designations, or equivalent education required
• 10+ years of relevant experience
• Advanced knowledge of audit standards, procedures, laws, rules and regulations
• Advanced knowledge of risk management environment, standards, regulations and mitigation
• Knowledge of current and emerging trends
• Skilled in managing budgets and resource allocation
• Skilled in mentoring, coaching and performance management
• Skilled in using computer applications including MS Office
• Advanced ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit
• Ability to communicate effectively in both oral and written form
• Ability to work collaboratively and build relationships across teams and functions
• Ability to work successfully as a member of a team and independently
• Ability to exercise sound judgement in making decisions
• Ability to analyze, organize and prioritize work while meeting multiple deadlines
• Ability to establish goals and objectives that support the strategic plan
• Ability to contribute to strategic direction of the audit function and provide advice to senior leadership
• Ability to forecast initiatives and demand in order to develop annual strategic audit plan

Nice-to-haves

• Wealth Management experience
• Depth of risks, control or audit experience with broker/dealers, high net-worth investing, mutual funds, investment trusts and/or banking services
• Strong knowledge of the U.S. Wealth Management regulatory environment as it relates to FINRA, OCC and other applicable regulations
• Certifications such as CFP, CPA, FINRA SIE, Series 6, 7 and/or 24, CFE and CFIRS

Benefits

• Base salary and variable compensation/incentive awards
• Health and well-being benefits
• Savings and retirement programs
• Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
• Banking benefits and discounts
• Career development opportunities
• Reward and recognition programs