Senior Compliance Governance & Operations Analyst

Perform supervisory activities on behalf of the branch manager – e.g., account opening reviews, concentration and margining exception reviews, checklists tests, sample trade and ACR reviews, etc.

Assist in the implementation and monitoring of appropriate Compliance, Risk and regulatory policies, processes, and controls.

Support new Advisor / PM / CSAonboarding and training.

Support client complaint resolution.

Support annual LMS, Diamond, and other attestation requirements in the branch.

Facilitate the periodic Compliance risk and self-assessment activities for designated business using TD’s Enterprise Compliance Risk Assessment Framework

Monitor daily, weekly, and monthly risk reports, and conduct in-branch assessments where registrants are deemed to require enhanced coaching and monitoring.

Interact with control partners within the organiz...