About TD Bank, America's Most Convenient Bank® TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US . TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit www.td.com .
Job Description Summary The Audit Manager SOX Operations Group Process is responsible for liaising with stakeholders to ensure effective execution of the annual SOX / FDICIA assessment is completed in accordance with the Divisional audit processes. The Audit Manager SOX Operations Group - Process will assist the Senior Manager to recruit, train, coach and develop SOX Operations Group resources. The Audit Manager SOX Operations Group Process is responsible for establishing strong relationships with the co-source vendor, internal business partners, Financial Controls Offices, and External Auditors. The Audit Manager SOX Operations Group Process must work with the Financial Controls Offices to ensure that significant changes in business processes of internal business partners and their operating environment including the regulatory landscape is reflected in SOX / FDICIA assessment process. The Audit Manager SOX Operations Group Process is responsible for generating reports / presentations to keep senior management up to date on the progress of SOX / FDICIA testing results including the overall quality of the testing completed by the co-source vendor.
Responsible for the transition of SOX / FDICIA controls testing to the vendor Creates and implements transition documentation to facilitate the onboarding of the vendor Monitoring the implementation of program recommendations from Project Slim Phase 1 (SOX / FDICA controls optimization) Supervises the test script optimization process to ensure that updates and change to the control test scripts meet the requirements of internal and external auditors Creates, manages, and delivers a training program by the Subject Matter Experts (SMEs) to the vendor Partners with the vendor to examine and propose opportunities for automated testing Manages the relationship with key stakeholders which may include: co-source vendor, internal business partners, Financial Controls Offices, and External Auditors Maintains effective relationships and regular interaction with key contacts / management of internal business partners and other members of the Audit Division (e.g. GABM, Business Audit Groups as applicable) Communication between co-source vendor and Internal Audits Global Audit Business Management group to issue laptops, physical access to TD premises, and logical access to the SMART application Maintains awareness and conduct research into emerging issues that may impact SOX / FDICIA regulatory requirements Liaises between the SOX Operations Group and Financial Controls Offices to ensure that changes to business related SOX / FDICIA testing requirements are communicated to, understood, and implemented by the co-source vendor Liaises with the co-source vendor to develop the annual SOX / FDICIA testing schedule and to communicate the testing schedule to Financial Controls Offices Facilitates the communication between co-source vendor and TD internal lines of businesses Reviews and issues SOX / FDICIA findings identified by co-source vendor to internal business partners and coordinate the closure of these findings with the co-source vendor Responsible for creating and managing the Quality Assurance framework to measure and govern the quality of the vendor's deliverables Consolidates SOX Operations Group reports for Financial Controls Offices to report on the progress and quality of SOX / FDICIA testing activities throughout the financial period Consolidates SOX Operations Group reports for Financial Controls Offices to report SOX / FDICIA findings and the status of these findings to management and the Audit Committee of the Board TDBG Contributes to, and promotes positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learning and knowledge with the team Develops the internal audit team through recruitment, training, performance management and providing regular feedback as well as on-going coaching Participates in group activities aimed at improving efficiency and effectiveness of SOX / FDICIA assessment process and or staff development initiatives
Must be eligible for employment under regulatory standards applicable to the position.
Undergraduate degree or equivalent experience required 8+ years related experience is required Professional accounting or internal audit designation is required SOX/FDICIA experience is required Internal or External Audit background is required Knowledge of the Bank's business operations (retail / commercial banking, capital markets, wealth management, securities, insurance, etc.) is preferred Current experience within TD internal audit is preferred IT Audit management experience and CISA certification is preferred Proven ability to manage a team of professionals to deliver projects or engagements Confident presentation and facilitation skills and strong interpersonal and leadership skills Excellent analytical skills and proven ability to improve efficiency and effectiveness of processes and teams Excellent problem solving ability Excellent conflict management skills Effective time management, multi-tasking and organization skills to meet tight deadlines as well as flexibility to adapt to changing priorities Excellent communication and decision managing skills Self-motivated and the ability to motivate and influence others Strong people management and coaching capabilities Strong knowledge of Sarbanes Oxley certification requirements Team Player Excellent working knowledge of Microsoft office packages (Word, Excel, PowerPoint)
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.
If you are a candidate with a disability and need an accommodation to complete the application process, email the 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 application process.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Relocation expenses are negotiable.
Internal Number: 6056634
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