Senior Auditor (US) - ICFR

Work Location:
Greenville, South Carolina, United States of America

Hours:
40

Pay Details:
$63,540 - $104,020 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

• 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.
• 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
• 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.
• Test of internal controls over Financial Reporting
• Managing stakeholders- Requesting Audit evidence and participating in work throughs
• Documenting proper documentation of control testing

• Performs assigned test steps for audits, findings follow-up, special projects; form conclusions and document work in database.
• Communicates and discusses audit report with business line.
• Participates in planning of audits.
• Receives coaching sessions, feedback discussions from in-charge manager.
• Obtains appropriate training.
• Makes discretionary decisions and applies professional judgment when assessing control.
• Provides on-the-job training for team members.
• Provides recommendations to management regarding the control environment.
• Other responsibilities as required.
• Participates in post-audit critique meeting.
• Developing skills to build and maintain relationships within, and external to, audit.
• Demonstrates TD leadership Core Values.
• Recognizes team members' contributions.
• Participates in, and actively supports implementation of department improvement initiatives.

• Developing skills in building and maintaining relationships within and external to audit.
• Experienced audit professional role providing guidance/ assistance to function supported.
• Requires working professional level knowledge of the functional area and/or business areas supported.
• May lead simple to less complex engagements/initiatives independently perform tasks from end to end.
• Ability to process and handle confidential information with discretion.

• Undergraduate degree required
• 3+ years of related experience

• .Bachelor's degree
• At least 2 years of experience in SOX controls testing, preferably from the Big Banks or Big 4 Audit firms.
• Strong English communication skills, interpersonal skills for interacting with stakeholders
• Microsoft - Excel (VLOOKUP, pivot tables, functions)
• CPA or CIA designation

• Most jobs require bachelor and graduate degrees, and/or professional certification, or comparable experience.
• This position does not have people management responsibilities.

• Be engaged in advancing and sustaining a unique, inclusive culture that reflects TDs diversity agenda, and create an extraordinary employee experience.
• Participate fully as a member of the team and contribute to a positive work environment.
• May provide leadership, training, and guidance to other team members.
• Ensure ongoing communication with the team on the status / progress of projects and issues / points of interest.
• Actively share information and knowledge, and proactively learn from the expertise of others.

• Participate in civic activities to promote growth and development of the community and a positive image for TD.

• Support the development and implementation of operational strategies and objectives to achieve measurable excellence in the quality delivery of sales, service, and products aligned with Best Run concepts and overall enterprise strategy and objectives.
• Participate in establishing and executing plans and goals for the Business to drive toward results.

• Ensure processes, policies and procedures are designed in compliance with TD Risk Appetite.
• Successfully complete all required job specific, compliance-related training. Understand, utilize and follow Compliance/Risk and control programs. Consult with all risk functions in the development and documentation of policies, procedures and controls, for all department processes.

• Service customers while sitting for long periods
• Perform sedentary work
• Perform multiple tasks
• Use standard office equipment

• Exposed to a low noise level
• Sitting - continuous
• Standing - occasional
• Walking - occasional
• Lifting/Carrying - never
• Squatting - never
• Bending - never
• Kneeling - never
• Crawling - never
• Climbing - never
• Balancing - never
• Reaching overhead/forward - never
• Pushing/Pulling - never
• Twisting - never