Senior Compliance Inspector – Branch Inspections

TD Bank Group; New York (NY); Sur place; USD 120 000 - 145 000; Plein temps

Résumé du poste

TD Securities in New York seeks a Senior Compliance Officer to lead risk-based branch and non-branch inspections, evaluate controls, identify regulatory risks, and drive remediation efforts. This role supports core compliance initiatives and may contribute to broader monitoring programs.

Requirements include BA/BS degree and 5+ years in compliance, risk, audit, or related areas within financial services. Strong knowledge of FINRA 3110 and report-writing experience are essential; travel for

Qualifications

• Must have 5+ years of Compliance, Risk, Audit, Branch Inspection, or supervisory experience in broker-dealer, investment bank, or financial institution.
• Strong knowledge of FINRA Rule 3110, branch office supervision requirements, and securities industry regulations.
• Excellent written and verbal communication skills for regulatory reports and senior management presentations.

Responsabilités

• Conduct risk-based remote and onsite branch inspections in line with FINRA Rule 3110 and firm policies.
• Prepare workpapers and comprehensive reports documenting scope, findings and corrective actions.
• Oversee remediation of issues identified during inspections and track to closure.
• Collaborate with other functions to promote a culture of compliance across the firm.

Connaissances

Regulatory compliance

Risk assessment

Branch inspections

Communication skills

FINRA knowledge

Formation

BA/BS degree

Description du poste

TD Securities in New York seeks a Senior Compliance Officer to lead risk-based branch and non-branch inspections, evaluate controls, identify regulatory risks, and drive remediation efforts. This role supports core compliance initiatives and may contribute to broader monitoring programs.

Requirements include BA/BS degree and 5+ years in compliance, risk, audit, or related areas within financial services. Strong knowledge of FINRA 3110 and report-writing experience are essential; travel for