Senior Audit Manager (us) - Financial Crimes Audit Broker Dealer

TD

New York, NY, United States
Base: $129,030 - $193,550 usd; bonus/equity: not s...
Audit planning and execution
Financial crimes audit expertise
Broker-dealer auditing experience
The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits, leading complex audit initiatives with enterprise-wide impact

Job Summary

  • The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits, leading complex audit initiatives with enterprise-wide impact.
  • TD offers a comprehensive Total Rewards package including base salary, variable compensation, health benefits, retirement programs, paid time off, and career development opportunities.
  • TD is committed to fostering a respectful workplace where diverse perspectives are valued and provides training, onboarding, and accommodations to support employee success.

Matching Summary

The Senior Audit Manager provides specialized in-depth subject matter expertise and may act as a specialized resource on audits, leading complex audit initiatives with enterprise-wide impact.

Salary

Base: $129,030 - $193,550 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, paid time off, career development

Skills & Requirements

Must-have

  • audit planning and execution
  • financial crimes audit expertise
  • broker-dealer auditing experience
  • risk assessment and management
  • cross-functional audit leadership
  • confidential information handling

Nice-to-have

  • thought leadership in audit
  • collaborative team environment
  • strategic audit direction
  • career development focus
  • client-facing mindset

Key Requirements

  • Undergraduate degree required
  • 10+ years relevant experience
  • 10+ years auditing broker/dealers
  • Broker-dealer licenses (SIE, Series 7, 24, 66)
  • BSA/AML/OFAC subject matter expertise
  • CAMS certification preferred

Work Rights

Not specified

Tailored Resume

Cover Letter