Description
The Senior Compliance Officer at TD Securities is responsible for assisting with the development and execution of the annual Compliance Testing and Monitoring plan, determining review scopes, organizing documentation, executing testing engagements, preparing reports, communicating deficiencies, overseeing remediation, and building stakeholder relationships. Additionally, the role involves developing monitoring metrics, contributing to department reporting, managing issue resolution, supporting rule inventory development, participating in special projects, collaborating with various departments to promote a culture of compliance, and contributing to annual training and regulatory change assessments.
