Senior Compliance Officer – Branch Inspection Lead (FINRA)

TD; New York (NY); On-site; USD 120,000 - 145,000; Full time

Job summary

TD Securities is seeking a Senior Compliance Officer to support the U.S. Core Compliance team, primarily handling the Branch Inspection Program. You will conduct risk-based inspections of branch and non-branch locations, evaluate supervisory controls, identify compliance risks, and assist remediation efforts.

The role requires passing FINRA Rule 3110 familiarity, strong communication across all levels, and the ability to travel for onsite inspections as needed.

Qualifications

• 5+ years of Compliance, Risk, Audit, Branch Inspection, or supervisory experience within a broker-dealer, investment bank, or financial institution.
• Strong knowledge of FINRA Rule 3110 and securities industry regulations.
• Ability to communicate across all levels and draft regulatory reports.

Responsibilities

• Perform risk-based branch office inspections, including remote and onsite reviews.
• Lead inspection lifecycle from planning to final report and remediation tracking.
• Collaborate with stakeholders to implement monitoring and compliance improvements.

Skills

Compliance experience

Risk assessment

Regulatory reporting

Communication skills

FINRA rules knowledge

Education

BA/BS degree

Job description

TD Securities is seeking a Senior Compliance Officer to support the U.S. Core Compliance team, primarily handling the Branch Inspection Program. You will conduct risk-based inspections of branch and non-branch locations, evaluate supervisory controls, identify compliance risks, and assist remediation efforts.

The role requires passing FINRA Rule 3110 familiarity, strong communication across all levels, and the ability to travel for onsite inspections as needed.