Senior Audit Manager (US) - Securities and Wealth Compliance
TD Bank Group(1 month ago)
About this role
A Senior Audit Manager at TD leads a team of audit professionals specializing in securities and wealth compliance and provides deep subject-matter expertise on regulatory requirements such as FINRA, SEC, and CFTC. The role is accountable for a significant, enterprise-impacting audit area and engages with senior/executive management to support long-term audit planning and strategy.
Required Skills
- Securities Compliance
- Wealth Compliance
- Audit Management
- Risk Assessment
- Regulatory Knowledge
- People Management
- Communication Skills
- Critical Thinking
- Problem Solving
- Conflict Resolution
+2 more
Qualifications
- Undergraduate Degree
- CIA
- CRCM
About TD Bank Group
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