Senior Compliance Lead – FINRA Branch Inspections

TD Bank Group; New York (NY); Presencial; USD 120.000 - 145.000; Jornada completa

Descripción de la vacante

TD Bank Group in New York, NY, seeks a Senior Compliance Officer to support the U.S. Core Compliance team, primarily the Branch Inspection Program. You will conduct risk-based inspections of branch and non-branch locations and evaluate supervisory controls.

The role requires a BA/BS, 5+ years in compliance or risk roles, strong FINRA 3110 knowledge, and excellent report writing. Travel for onsite inspections may be required, and the base compensation ranges from $120,000 to $145,000 annually.

Formación

• BA/BS or equivalent degree required.
• 5+ years in Compliance, Risk, Audit, Branch Inspection, or supervisory roles.
• Strong knowledge of FINRA Rule 3110 and securities industry regulations.
• Excellent written and verbal communication; ability to draft regulatory reports.
• FINRA Series 7 or 79 preferred.

Responsabilidades

• Conduct risk-based branch and non-branch inspections per FINRA 3110.
• Own the full inspection lifecycle: planning, fieldwork, reporting, closure.
• Assess risk and controls for registered and non-branch locations.
• Prepare workpapers and comprehensive reports for stakeholders.
• Oversee remediation and track issues to closure.
• Collaborate with other functions to promote a culture of compliance.
• Willingness to travel for onsite inspections.

Educación

BA/BS or equivalent

Descripción del empleo

TD Bank Group in New York, NY, seeks a Senior Compliance Officer to support the U.S. Core Compliance team, primarily the Branch Inspection Program. You will conduct risk-based inspections of branch and non-branch locations and evaluate supervisory controls.

The role requires a BA/BS, 5+ years in compliance or risk roles, strong FINRA 3110 knowledge, and excellent report writing. Travel for onsite inspections may be required, and the base compensation ranges from $120,000 to $145,000 annually.