Vacancy Description
Description
:The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.
Depth & Scope:
Works independently as the senior officer and may coach and educate others
Individual contributor role providing specialized expertise or may lead a small team of specialists
Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators
Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information
Provides day to day interaction and support to Management
Oversees/executes and/or performs tasks from end to end
Focuses on short to mid-term issues (e.g. monthly-quarterly)
...Ready to Apply?
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Submit your application for Sr. Compliance Officer (Associate) - Compliance Oversight Program - TD Securities (US) at TD Securities (USA) LLC
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