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manager, internal audit services

Title posted on CareerBeacon - Senior Compliance Monitoring and Testing Analyst – Wealth (Audit) (, , , )

Posted on June 21, 2025 by Employer details TD Bank

Job details

Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:$76,800 - $115,200 CADTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.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.Job Description:Department Overview The Compliance Testing team works pro-actively with the divisions of TD Waterhouse Canada Inc., TD Asset Management Inc. (including TDAM USA), Private Investment Counsel Inc., Private Trust, Private Banking, TD Insurance and various other departments within TD who provide support to these businesses. We test and monitor for regulatory compliance to protect the interests of TD, the wealth and insurance businesses, its employees and clients.Job Description Reporting to the Testing Manager, the Senior Testing Analyst will focus on providing support for the wealth testing and monitoring program. The Senior Testing Analyst models strong ethics, integrity and leadership to promote a positive work environment that fosters collaboration, innovation and synergies. The Senior Testing Analyst will be responsible for all aspects of assigned testing engagements and monitoring activities. The role requires regular interaction and communication with business personnel. Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of the work performed, and the identification and risk-rating of key process and control gaps identified. The Senior Testing Analyst will:Plan and execute compliance testing programs and communicate compliance testing resultsIdentify and document regulatory compliance controlsPrepare documentation in accordance with established policies and standardsBudget and be responsible for tracking of work efforts versus budgetsDevelop and execute monitoring activitiesProvide knowledgeable recommendations to businesses for control improvementsEnsure key regulations and key regulatory changes are captured in assigned testing programsParticipate in business initiatives as assignedProactively contribute to team processes and projectsSeek process improvements and more efficient ways to deliver value to our businessesLead testing engagements and review the work of other testersJob Requirements Significant controls testing/audit experience is requiredWork experience in the financial industry, experience with compliance and wealth-related businesses preferredExceptional communication skills with the ability to draft superior quality analysesAbility to work independently, apply critical and strategic thinking to issues and make timely decisionsAbility to read and interpret regulations as well as understand how the regulations may impact our business partnersStrong problem solving skills and ability to recommend value-added solutionsStrong relationship management skills and ability to work effectively within both enterprise and business level project groupsStrong collaborative skills and experience partnering with business unitsAbility to manage multiple deadlines and prioritiesAdditional Information Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)Audit or Compliance testing experience requiredCSC/CPH and other relevant industry courses preferredWho 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 experi