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TD Newton
About the role
Roles & responsibilities
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Conduct thorough controls and compliance reviews, delivering high-quality
deliverables based on defined work programs. Identify gaps in member firm
compliance.
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Collaborate with cross-functional teams (including member firm teams) to
monitor, review, and report on the operation and testing of SoQM controls
and other compliance programs. Use Risk and Control matrix to support the
review of Control documentation and Testing documentation. Identify
control and/or compliance failures and areas of improvement. Discuss final
observations with Managers/Directors/Partners
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Maintain accurate documentation of tasks performed and contribute to
reporting dashboards
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Analyze Excel sheets to identify trends, unusual items, and insights that
help with compliance checks and reporting.
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Assist in drafting reports and presentations to communicate review
outcomes.
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Stay up to date with firm methodologies (SoQM, GQCR, and CEAC), applicable
regulations & standards. This includes conducting thorough research,
actively learning, and effectively implementing these policies in the
projects. Regularly review firm policies and guidelines to enhance subject
knowledge.