Senior Audit Manager – Securities and Wealth Compliance
TD
full-time
Posted on:
Location Type: Office
Location: Mount Laurel • New Jersey • New York • United States
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Salary
💰 $119,110 - $193,550 per year
Job Level
About the role
- Leads a team of audit professionals and provides specialized in-depth subject matter expertise with respect to Securities and Wealth Compliance
- Contributes to the planning, risk assessment and/or execution of audits
- Provides supervisory oversight to deliver on-time audits and related engagements projects/initiatives
- Supports operational team direction and collaborates with others to execute on common goals
- Acts as the audit lead or audit advisor to management and respective teams for area of specialization
Requirements
- Undergraduate degree required
- 10+ years of relevant experience
- Relevant certification required (CIA and CRCM preferred)
- Experienced people manager, leading a compliance audit team
- Experience auditing securities, broker-dealer and/or wealth compliance
- Advanced awareness of laws and regulations governing the banking industry that impact assigned area, specifically securities, broker-dealer, and/or wealth compliance
- Advanced functional audit knowledge and skills
- Advanced skills in building and maintaining relationships within, and external, to audit
Benefits
- 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
- Reward and recognition
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
auditrisk assessmentcompliance auditingfunctional audit knowledge
Soft skills
leadershiprelationship buildingcollaborationsupervisory oversight
Certifications
CIACRCM