Auditor

The auditor is responsible principally for performing and documenting test procedures related to assigned audits, assisting with the completion of the Audit Plan, and in assisting with ad-hoc reporting.

Job Requirements • Demonstrate TD leadership Core Values

• Developing skills to build and maintain relationships within, and external to, audit
• Work at direction of Grade 10 (AIC). Performs work from end to end under supervision of auditor in charge
• Assists with some aspects of planning of the audit at the direction of the auditor in charge
• Participates in audits in performing walkthroughs, executing assigned test steps (including SOX related), and executing management reporting activities
• Perform routine and complex audits of controls, records, and operations
• May develop tests for routine audits
• Execute audit tests in alignment with GAM and IIA standards
• Communicate status and escalate issues to the AIC
• Complete findings follow up tasks under supervision of audit management
• May review peer audit documentation
• Completes Post Audit Feedback Form for self upon completion of the audit
• Participate in post-audit critique meeting
• Recognize team members’ contributions
• Participate in, and actively support implementation of department improvement initiatives
• Investigates and implements straightforward problem resolution within own area of responsibility

Qualifications • 4 year degree or equivalent experience

• 1-2 years of internal audit or related work experience
• Experience with Broker Dealer and Bank, laws, rules and regulations
• Accredited Designation such as CPA, CFA, CIA, CFSA, including FINRA S7, S24 preferred
• Works well independently, with others, and can multi-task
• Exercises good judgment
• Travel approximately 25% – principally to Toronto
• Ability to complete tasks timely and accurately
• Escalates issues and delays quickly
• Certification highly preferred or willingness to pursue certification
• Excellent oral and written communication skills
• Working knowledge of auditing principles and practices
• Some knowledge of fixed income and FX related products and processes
• Some knowledge of Canadian, US and UK regulatory requirements
• PC skills (MS Office Suite)