Senior Audit Manager (US) - Financial Crimes Audit Broker Dealer
TD SecuritiesHighlight
Summary
About the Role
About You
- Undergraduate degree required.
- 10+ years of relevant experience in auditing.
- 10+ years of experience in auditing large broker/dealers, investment firms, capital markets.
- Related broker-dealer licenses (e.g. SIE, Series 7, 24, 66 etc.).
- BSA/AML/OFAC subject matter expertise.
- CAMS certification or similar preferred.
Benefits
- Competitive salary range of $129k–$194k.
- Comprehensive benefits package including health and well-being benefits, savings and retirement programs, and paid time off.
As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our corporate, government, and institutional clients choose us for our innovation, execution, and experience. With 7,000 professionals operating out of more than 30 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As an integrated team, we work to deliver value for our clients every day. For relevant legal disclaimers, visit tdsecurities.com/ca/en/legal.