Senior Compliance Monitoring & Testing Officer
TD
TD Securities in New York is seeking a Senior Compliance Officer to join the US Compliance Monitoring and Testing Team and Core Compliance Group. The role involves developing and executing the annual testing and monitoring plan, defining review scope, and reporting findings with action plans. Qualified candidates will have a BA/BS (JD desirable), 5+ years of compliance testing or audit within a U.S. broker-dealer or regulator, strong regulatory knowledge, and excellent communication and #J-18808-Ljbffr TD
Vacancy posted 4 days ago
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