Participates as charged in various agency meetings on behalf of RPM, and serves as primary Relationship Manager for less complex examinations. Leads as charged in various agency meetings on behalf of RPM, and serves as primary Relationship Manager on assigned examinations or regulatory matters. Routinely engages with mid-level or Senior management of assigned business line to further RPM’s mandate and ensures compliance in a scalable environment. Effectively work in teams and develop relationships across the Division and with key stakeholders (including Control Process Group (CPG)/US Regulatory Program Management (RPM)/Canada Regulatory Risk (RR) and business partners). Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.

audit manager

Work Location: Mount Laurel, New Jersey Hours 40 Pay Details $88,250 - $132,380 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role. 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. Line Of Business Risk Management Job Description The Regulatory Relationship Associate provides strategic oversight, assistance, and relationship management with multiple U.S. regulatory agencies (i.e. Federal Reserve Banks, Comptroller of the Currency, Consumer Financial Protection Bureau, Federal Deposit Insurance Corporation, Department of Veterans Affairs, Department of Housing and Urban Development, Small Business Administration, the Office of Superintendent of Financial Institutions Canada, and the various State banking departments) for regulatory interactions across TD Bank, affiliates, and the US Holding Company. The Regulatory Relationship Manager I is the primary point of contact and manages relationships and interactions with regulators to ensure proactive, timely, complete, consistent, and high quality communications; ensures centralized awareness and quality assurance for all regulatory requests and responses to findings; tracks delivery of all commitments to the regulators; and ensures regulatory trends are understood across the organization. The job also requires understanding the findings and recommendations cited by regulators to assist business lines in prioritizing, where needed, and monitoring status of remediation efforts for assigned business lines. Depth & Scope <ul><li>Assists in understanding of formal regulatory requests and reviews, serves as liaison for assigned business lines and exam staffs, and serves as primary Relationship Manager for less complex examinations</li><li>Participates as charged in various agency meetings on behalf of RPM, and serves as primary Relationship Manager for less complex examinations</li><li>Consults and collaborates with assigned business lines on any regulatory request or inquiry as part of on-going supervision</li><li>For assigned business line relationship, may collaborate with the TDBG Regulatory Program Management function for exams performed by OSFI, Office of the Superintendent of Financial Institutions</li><li>Leads as charged in various agency meetings on behalf of RPM, and serves as primary Relationship Manager on assigned examinations or regulatory matters</li><li>Performs QC of all materials submitted for exams or ongoing supervision, ensures business line leads have covered off logistical details for regulatory teams, delivers requested materials securely to the regulatory teams and tracks outstanding items due to the agencies</li><li>Provides guidance to assigned business lines in support of RPM mandate</li><li>Leads discussions of Regulatory Review Council related to assigned business line and participates in various Senior management level review or oversight meetings</li><li>Ability to analyze exam/review results, industry shifts, and assigned business line direction to provide timely notice on potential risks and regulatory agency direction</li><li>Participates in RPM meetings to determine themes on findings and recommendations</li><li>Participates in discussion on updates to department policy and procedures, as well as items created for SharePoint publication</li><li>Prepares timely and accurate updates for internal Executive level and departmental reporting covering assigned business lines or oversight assignments</li><li>Routinely engages with mid-level or Senior management of assigned business line to further RPM’s mandate and ensures compliance in a scalable environment</li><li>Management oversight needed </li></ul>Education & Experience <ul><li>Bachelor's degree required</li><li>7 years related experience required, preferably in Risk Management, Regulatory, or Audit in the financial services industry</li><li>Ability to manage routine initiatives with multiple stakeholder interests to successful completion</li><li>Strong time management skills</li><li>Ability to clearly communicate expected outcomes and influence the decisions and actions of others</li><li>Solid interpersonal skills including demonstration of conflict resolution and relationship building skills</li><li>Proven proficiency in Microsoft Office Suite</li><li>Strong verbal and written communications skills and ability to communicate information clearly to employees and management of assigned business lines</li><li>Strong presentation skills</li><li>Travel may be required </li></ul>Additional Preferred Experience Accountabilities include, but are not limited to, the following: <ul><li>Facilitate responses to regulatory requests, prepares related reporting for internal and external stakeholders, and is the primary liaison with these stakeholders.</li><li>Balance the needs of US and Canadian Internal Audit management teams, stakeholders and regulatory authorities.</li><li>Advise and challenge Senior Management on Internal Audit responses.</li><li>Support audit teams for regulatory matters.</li><li>Contribute to Board of Director reporting and Audit Practices updates</li><li>Participate in relevant initiatives/projects.</li><li>Provide recommendations on any Audit methodology and practice changes needed to ensure proper remediation of regulatory matters.</li><li>Provide general support for Internal Audit validation of regulatory findings related to lines of business.</li><li>Work in close partnership with various stakeholders to meet needs of the Audit Division. </li></ul>Job Requirements <ul><li>Exceptional attention to detail, quality and organizational skills</li><li>Ability and desire to work in a fast-paced environment and display a "sense of urgency" in Regulatory requests</li><li>Given the nature of the role the ability to display flexibility given unpredictability of requests and ability to prioritize highly important items frequently</li><li>Strong communication at all levels</li><li>Problem solving</li><li>Effectively work in teams and develop relationships across the Division and with key stakeholders (including Control Process Group (CPG)/US Regulatory Program Management (RPM)/Canada Regulatory Risk (RR) and business partners)</li><li>Indirectly manage and support various team members across the Division and share knowledge</li><li>Identify efficiencies in current processes</li><li>Previous Regulatory management experience is beneficial but is not required.</li><li>Audit related experiences is beneficial but is not required. Accountabilities include, but are not limited to, the following:</li><li>Facilitate responses to regulatory requests, prepares related reporting for internal and external stakeholders, and is the primary liaison with these stakeholders.</li><li>Balance the needs of US and Canadian Internal Audit management teams, stakeholders and regulatory authorities.</li><li>Advise and challenge Senior Management on Internal Audit responses.</li><li>Support audit teams for regulatory matters.</li><li>Contribute to Board of Director reporting and Audit Practices updates</li><li>Participate in relevant initiatives/projects.</li><li>Provide recommendations on any Audit methodology and practice changes needed to ensure proper remediation of regulatory matters.</li><li>Provide general support for Internal Audit validation of regulatory findings related to lines of business.</li><li>Work in close partnership with various stakeholders to meet needs of the Audit Division. </li></ul>Who We Are TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues. TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations 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. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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