Tim Rogers, CFA, is a seasoned professional in securities compliance with a strong educational background, including a Bachelor's and a Master's degree in finance. Tim has accumulated significant experience in the financial industry, notably at FINRA, where they conducted surveillance and investigations into trading patterns, and at UBS, leading compliance testing reviews for broker-dealer activities. Currently, Tim serves as Vice President of Compliance Monitoring and Testing at TD Securities, demonstrating a continued commitment to upholding regulatory standards within the financial sector.
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