AUDITOR JOB DESCRIPTION

An Auditor evaluates whether an organization's controls, processes, and financial records are sound. Most professionals in this seat work within an internal audit function that spans financial, operational, and compliance reviews - often simultaneously. GAAP adherence and risk assessment methodology form the technical backbone of the work, while findings must hold up under scrutiny from executive management and external regulators alike. Hard calls happen often. Clean answers rarely come pre-packaged.

As the Auditor, you independently plan and execute audit engagements across financial, compliance, and operational domains, translating risk findings into actionable recommendations that strengthen the organization's control environment. You operate within a structured internal audit function, managing concurrent assignments and engaging directly with business line leadership from fieldwork through final report.

Career Impact: Sustained exposure to enterprise-wide risk assessment and GAAP-based financial review builds the technical depth that separates senior audit professionals from generalists in the market.

Business Impact: Control weaknesses you identify and document directly shape policy revisions, compliance posture, and fraud prevention outcomes for the organization.

Growth Opportunity: The cross-functional scope of this role - spanning financial, operational, and investigative audits - accelerates the path toward CIA certification, Audit Manager, or a specialist track in financial forensics.

• Conduct all phases of audit engagements, from planning and risk assessment through fieldwork, reporting, and follow-up.
• Assess operational processes and business objectives, then design testing programs that evaluate performance against established control goals.
• Identify control weaknesses and compliance gaps, translating findings into practical recommendations for management at all levels.
• Analyze structured and unstructured data from multiple sources to support evidence-based audit conclusions.
• Investigate allegations of fraud, waste, and misconduct with objectivity and impartiality throughout the engagement.
• Partner with cross-functional project teams on business process reviews, system re-engineering, and financial control advisory.
• Document work and conclusions in the audit management system, ensuring findings are traceable, accurate, and clearly understood by stakeholders.
• Support policy development by contributing lessons learned and best practices from completed investigative and operational audit work.

• Bachelor's degree in Accounting, Finance, or a related business discipline, or equivalent work experience.
• 5 or more years of auditing experience, with demonstrated ability to manage engagements independently from planning through final reporting.
• Knowledge of Generally Accepted Accounting Principles as promulgated by the American Institute of Certified Public Accountants.
• Ability to independently assess risk areas, set audit objectives, and manage concurrent projects against annual audit plan deadlines.
• Strong analytical skills with the ability to interpret complex datasets and connect findings across processes and business units.
• Professional judgment sufficient to navigate sensitive investigations and candid discussions with senior and executive-level management.
• Clear written and verbal communication skills, with the ability to convey technical audit findings to non-specialist audiences.
• Familiarity with internal control frameworks and regulatory compliance requirements applicable to corporate and financial operations.

• CPA, CIA, or CMIIA designation, or active progress toward a recognized professional audit certification.
• Experience with data analytics techniques applied to audit sampling, anomaly detection, or financial pattern analysis.
• Advanced degree in Accounting, Business Administration, or a related discipline.
• Prior experience conducting investigative audits involving fraud, corruption, or regulatory misconduct.

• Audit plan completion rate, measuring the percentage of scheduled engagements closed within the annual plan cycle.
• Finding closure rate, tracking how consistently remediation actions are validated and confirmed within agreed timelines.
• Report accuracy score, reflecting the proportion of findings that withstand management review without material revision.
• Concurrent project load managed without missed deadlines, indicating independent workload prioritization capability.
• Percentage of investigative engagements concluded with documented, evidence-supported outcomes.
• Typical tools: audit management platforms (commonly TeamMate or AuditBoard); data analysis environments (commonly ACL or IDEA).

• Base Salary Range: $75,000 to $110,000 annually, depending on experience and location.
• Bonus: Annual performance bonus typically ranging from 5% to 15% of base salary.
• Equity: Not standard at this level in most corporate audit functions.
• Health Benefits: Medical, dental, and vision coverage; employer contribution varies by organization.
• PTO: 15 to 20 days annually, plus standard US public holidays.
• Common Perks: CPA or CIA exam reimbursement, continuing education support, and hybrid work arrangements common in this function.

Figures are estimates based on general US market benchmarks and may be outdated. Adjust based on location, company size, and seniority level.

Successful completion of a background check, which may include verification of employment history, education, and criminal record, is required as a condition of employment for this role given its access to sensitive financial information. All qualified applicants will receive consideration without regard to race, color, religion, sex, national origin, age, disability, veteran status, or any other characteristic protected under applicable federal, state, or local law. Reasonable accommodations are available to applicants and employees with disabilities upon request. Candidates must be authorized to work in the United States.

The Financial Auditor owns the full audit cycle, independently planning, executing, and reporting on financial, compliance, operational, and investigative engagements while managing multiple concurrent projects across sensitive and unprecedented scenarios. Reporting to senior audit leadership, the Financial Auditor delivers evidence-based findings and policy recommendations that strengthen the organization's control environment and compliance posture.

Key Responsibilities

• Independently conduct all phases of the audit including planning and research, risk assessment, fieldwork, report development, wrap-up, and follow-up.
• Concurrently run multiple projects, including work that is often sensitive, unusual, and without precedence.
• Determine risk areas and audit objectives; assess operational processes and business objectives; create testing programs to evaluate operations against established goals.
• Discern risks and identify control weaknesses; identify opportunities for improving controls, gaining efficiencies, and strengthening compliance with laws and regulations.
• Review and interpret data from various sources to make connections about the processes and activities under review.
• Participate on project teams for business system re-engineering, evaluation of process flows, and financial reviews to provide internal control advice and counsel.
• Participate in developing and revising company policies related to best practices and lessons learned from investigative work.
• Conduct investigations into alleged fraud, corruption, waste, and other types of misconduct with objectivity, impartiality, and fairness throughout the investigative process.

Required Qualifications

• Bachelor's degree in Accounting or a related business discipline; Master's degree or progress toward an advanced degree preferred.
• Knowledge of Generally Accepted Accounting Principles promulgated by the American Institute of Certified Public Accountants.
• At least five years of auditing experience; progressive experience sufficient to carry out business management evaluations and analysis without continuous oversight.
• Ability to independently schedule audit projects, meet annual audit plan objectives, and complete multiple concurrent projects within established deadlines.
• Ability to apply independent professional judgment to diverse business and operational scenarios in an objective manner; ability to work through potentially challenging discussions with various levels of management.
• Communication skills necessary to address audit issues, both orally and in writing, with all levels of management; inquisitive mindset with ability to conduct productive information-gathering discussions and perform data analytics.

Embedded within the internal audit function, the Senior Auditor performs assigned test steps, follows up on findings, and contributes to audit planning while applying professional judgment to assess and strengthen the control environment across banking operations. Working closely with business line management and audit team members, the Senior Auditor supports department improvement initiatives and builds the stakeholder relationships necessary to deliver timely, accurate audit conclusions.

Core Functions

• Performs assigned test steps for audits, findings follow-up, and special projects; forms conclusions and documents work in database.
• Communicate and discuss audit reports with the business line; participate in planning of audits and post-audit critique meetings.
• Make discretionary decisions and apply professional judgment when assessing controls; provide recommendations to management regarding the control environment.
• Provide on-the-job training for team members; recognize team members' contributions.
• Receive coaching sessions and feedback discussions from in-charge manager; obtain appropriate training.
• Participate in and actively support implementation of department improvement initiatives.
• Develop skills to build and maintain relationships within and external to audit; demonstrate TD Leadership Core Values.
• Respond to shifting priorities; escalate issues and delays quickly; complete tasks timely and accurately.

Qualifications & Experience

Bachelor's degree.

• Relevant certification preferred.
• 1–3 years of related experience; developing risk-based decision-making skills and knowledge in assigned subject matter area.
• Fundamental awareness of laws and regulations governing the banking industry and assigned business.
• Proficient functional audit knowledge and skills.
• PC skills (MS Office Suite).
• Fundamental oral and written communication skills; fundamental level of critical thinking, problem solving, and conflict resolution skills.
• Ability to work well independently and on teams; effectively manages competing priorities; thrives in a fast-paced and challenging environment.
• Travel 25%; must be eligible for employment under regulatory standards applicable to the position.

Reporting to the Senior Audit Manager in Hong Kong, the Internal Auditor APAC conducts entity and store audit fieldwork across the APAC region, producing actionable reports and participating in best practice reviews that assess the adequacy of controls for asset safeguarding and policy compliance. Partnering with regional functions and audit leadership, this role drives follow-up on intervention outcomes and supports ad hoc projects to strengthen the organization's internal control framework across retail and luxury markets.

Primary Duties

• Carry out audit fieldwork within the APAC region, including entity and store audits.
• Produce audit reports identifying effective measures and enhancement actions to provide internal stakeholders with adapted recommendations and suggestions.
• Ensure subsequent follow-up of the outcomes of interventions included in audit reports.
• Participate in best practice reviews within the APAC region to determine, in conjunction with the audit manager, the adequacy of controls for asset safeguarding and compliance with company policies and procedures.
• Suggest action plans to relevant functions to address identified weaknesses.
• Assist in ad hoc related projects as necessary.

Skills & Qualifications

• Degree holder with a major in Finance or Accounting.
• CPA/CIA certification is an advantage.
• Relevant experience in the auditing field; experience in retail or luxury industry preferred.
• Strong analytical and written communication skills; strong interpersonal and verbal communication skills.
• Fluent in English, Korean, and Japanese.
• Travel approximately 50%; ability to manage multiple projects; international experience required.

Sitting at the intersection of risk assessment and internal controls, the Senior Internal Auditor leads audit assignments from planning through final reporting, applying sound professional judgment to design testing approaches and produce cost-effective recommendations across a wide variety of organizational settings. Operating across structured and unstructured data environments, this role generates evidence-based findings that define and address control exposures before they become material risks.

Duties

• Conduct assignments from planning to final reporting, applying the organization's methodology with experience and sound judgment.
• Execute a wide variety of tests and procedures; accurately interpret results while ensuring work is competently and efficiently performed.
• Effectively analyze structured and unstructured data and information to drive evidence-based findings.
• Apply internal control concepts across a wide variety of settings; develop appropriate testing approaches and assess exposures resulting from ineffective or missing control practices.
• Identify and clearly define risks; formulate recommendations that are appropriate, practical, and cost-effective.

Experience & Qualifications

• Relevant professional qualification such as ACA, ACCA, CIPFA, or CMIIA.
• Actively studying toward part-qualification or another relevant qualification also considered.
• Experience with data analytics techniques and software; experience using flowcharting software.
• Full driving licence and personal vehicle preferred.
• Flexibility to travel regularly locally with potential for wider international travel.
• A second language would be useful.
• Ability to work independently and manage multiple assignments effectively.

A key member of the quality and compliance function, the GVP Auditor plans and conducts pharmacovigilance audits, validates CAPA plans proposed by audited structures, and manages finding closure from initial observation through confirmed remediation. Collaborating across audited entities and the broader quality organization, this role ensures that each engagement is fully closed with documented proof before final confirmation is issued to the audited structure.

Functions

• Prepare and validate the audit plan (agenda of the audit).
• Conduct the audit; edit audit findings and observations; write the audit report.
• Validate the CAPA plan proposed by the audited structure.
• Follow up on the implementation of CAPA.
• Confirm closure of each finding based on proofs received from the audited structure.
• Confirm final closure of the audit to the audited structure.

Requirements

• Minimum of 5 years of experience in the role; experience in conducting GVP audits.
• Knowledge of GCP, GDP, and GMP is an asset.
• Project management skills; dedication to meeting deadlines.
• Process-oriented with strong attention to detail.
• Customer orientation; excellent coordination and communication skills.
• Fluent in English; French language is a strong asset.

Accurate audit outcomes and sound stakeholder relationships depend on the Internal Auditor, who delivers quality work within GIA's methodology, confirms the accuracy of findings, and supports Audit Managers across processes, controls, and systems analysis. Based within a risk and controls environment with a focus on Prudential Risk and Finance, this role ensures that audit results are clearly understood and acted upon by the relevant business functions.

Key Deliverables

• Be a proactive team player who leads by example and works constructively across GIA.
• Deliver quality work within given timeframes, standards, methodology, budget, and best practices.
• Confirm accuracy of audit results and ensure findings are clearly understood by stakeholders.
• Focus on processes, controls, and systems analysis.
• Support Audit Managers with audits.

Professional Experience

• Experience working within a risk and controls environment.
• Background within Prudential Risk and Finance, including model risk, is desirable.
• Recognised accountancy qualification is an advantage.
• Ability to work under pressure; ability to build and manage stakeholder relationships.
• Strong analytical and critical thinking skills.
• Effective written and verbal communication skills.

As the Auditor, you shape adjuster performance assessment by conducting quarterly claim file audits, scoring individual audit forms, and delivering findings to unit managers and department leadership within a property and casualty claims environment. The audit team relies on this work to identify performance gaps, support annual reviews, and uphold compliance with state claims handling laws and regulations across general liability, auto physical damage, and related lines.

Accountabilities

• Conduct 10 claim file audits each quarter for each adjuster in the department.
• Provide quarterly individual file audit copies to unit managers, including a unit assessment and a spreadsheet listing each adjuster's scores per audit form unit and overall audit score.
• Provide feedback to management and adjustment staff based on audit results; assist in quarterly and annual performance reviews.
• Maintain regular contact with managers, examiners, adjusters, and other department personnel.
• Maintain confidentiality; perform other similar or related duties as assigned.

Education & Experience

• Four-year degree from an accredited institution or equivalent experience.
• 5+ years of successful claims handling experience including advanced skills in coverage analysis, investigation, litigation management, negotiation, salvage, and subrogation; prior auditing experience required.
• Knowledge of state laws and regulations governing the handling of property and casualty claims throughout the United States
• Understanding of accounting principles, underwriting, and auto physical damage and/or property estimating.
• Knowledge of medical terms and legal issues.
• Advanced proficiency in Word and Excel; ability to quickly understand and utilize existing and future claims handling systems.
• Excellent writing skills; advanced communication skills to understand, interpret, and convey technical information.
• Excellent time management and organizational skills.

Auditor leads independent, cross-functional audit engagements spanning F&A, Procurement, HR, Compliance, IT, and R&D across a global corporate group, assessing control environments and producing comprehensive reports with candid recommendations in line with established IA Rules of Procedure. The work directly supports the Management Team's operational and strategic objectives by supplying subject matter expertise, fostering audit methodology development, and sharing best practices across the IA and risk management community.

Key Responsibilities

• Conduct independent and professional audits in cross-functional topics with a focus on F&A, Procurement, HR audits, or other IA functions such as Compliance Program Audits, Compliance Investigations, General Audits, IT, R&D, and PS, across the Bayer Group per IA Rules of Procedure.
• Assess the current state of the audit object with regard to adherence to rules, regulations, and policies, as well as appropriate risk mitigation and control environment.
• Coordinate and supervise audit activities onsite; ensure audit execution and documentation in line with IA Rules of Procedure.
• Provide candid feedback in the form of suitable recommendations in comprehensive audit reports; share best practices with auditees where required.
• Foster and proactively initiate continuous development of state-of-the-art audit tools and methods; support knowledge-sharing within the IA and RM community.
• Support the Management Team in daily operations, projects, and working groups; provide basic subject matter expertise in areas such as Auditing, Accounting, Taxes, Finance, and HR.

Qualifications & Experience

• University degree (Master of Science or equivalent, MBA) with several years of experience, ideally at Bayer or in comparable industries.
• Strong knowledge of internal IA methodology and audit ethics; established business acumen in the relevant Internal Audit function (e.g., F&A, HR, Procurement).
• Sound analytical, digital, and conceptual skills.
• Strong project management skills with established ability to plan and align.
• Ability to quickly learn different tasks in an agile manner.
• Ability to work in a cross-cultural environment and global teams; skilled at building trusting working relationships.
• Effective conflict management and collaboration skills.
• Established communication and presentation skills.
• Fluency in written and spoken German and English; additional languages are an advantage.
• Willingness to travel and work internationally.

Reporting to the Line Manager, the Commercial Auditor plans and executes internal sales audits, evaluates Sales Team performance against policies and procedures, and produces clear verbal and written reports with actionable recommendations that support the company's continuous improvement approach. The Commercial Auditor identifies market risks, monitors remedial actions through to completion, and collaborates with cross-functional stakeholders to drive operational efficiency and strengthen the commercial control environment.

Core Functions

• Plan, organize, and carry out internal sales audit work on the activities and performance of the Sales Team.
• Schedule audit reviews for the Sales Team.
• Report to Line Manager on audit findings and their impact on policies, procedures, and activities of the Sales Team.
• Make recommendations on systems and procedures being reviewed.
• Prepare and present professional, clear, and concise verbal and written audit reports.
• Conduct follow-up audits and monitor remedial actions through to completion.
• Identify market risks and opportunities for improvement.
• Make recommendations to manage and control such risks in support of the company's continuous improvement approach.

Background & Experience

• Bachelor's degree in Business, Finance, Economics, or a related discipline; candidates with equivalent education plus relevant work experience may be considered.
• Highly analytical and data-driven approach to process improvement and problem solving through technology.
• Strong passion for improving customer experience through operational excellence and driving efficiencies that benefit colleagues, partners, and customers.
• Enjoys working with cross-functional teams and individuals of diverse talents and backgrounds; diligent and humble approach to teamwork and problem solving.
• Self-motivated with the ability to work on own initiative.

Success in the position means the Auditor reconciles Food and Beverage, Hotel, and Casino Gaming paperwork to computer systems daily, identifies exceptions across Cashiering, Table Games, and Slots, and ensures full compliance with internal policies and regulatory requirements across all audited areas. The work supports operational integrity within a gaming and hospitality environment regulated by the Alcohol and Gaming Commission of Ontario, with findings reported through established audit channels to department management.

Role Responsibilities

• Audit and reconcile Food and Beverage and Hotel paperwork to computer systems.
• Audit Casino Gaming Operations and paperwork.
• Reconcile CMP and SDS to actual paperwork; perform daily audits on Cashiering areas.
• Identify exceptions to internal procedures across all audit areas including Cashiering, Table Games, Food and Beverage, Hotel, and Slots.
• Perform other duties as assigned; maintain accurate records and documentation for all audit activities.
• Ensure compliance with internal policies and regulatory requirements across all audited areas.

Minimum Qualifications

• College diploma or equivalent with a focus in Accounting, or a designation in the Accounting field, or comparable working experience in related fields.
• One or more years of working experience in a related field.
• Working knowledge of Excel; CMP and SDS knowledge is an asset.
• Strong organizational, interpersonal, analytical, and communication skills.
• Proven high level of customer service.
• Ability to obtain registration as a Category 2 Gaming Assistant with the Alcohol and Gaming Commission of Ontario.