Senior Compliance Officer – Branch Inspection Leader

TD

New York (NY)

On-site

USD 120,000 - 145,000

Full time

5 days ago

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Job summary

TD Securities U.S. Core Compliance is seeking a Senior Compliance Officer to support the Branch Inspection Program.

You will conduct risk-based branch and non-branch inspections, evaluate supervisory controls, identify compliance risks, and support remediation efforts, with opportunities to contribute to broader Compliance Monitoring initiatives. Based in New York, the role requires 5+ years in compliance/risk/audit within a broker-dealer or financial institution, strong FINRA 3110 knowledge,

Qualifications

BA/BS or equivalent degree required.
5+ years of Compliance, Risk, Audit, Branch Inspection, or supervisory experience.
Strong knowledge of FINRA Rule 3110 and branch supervision requirements.

Responsibilities

Conduct risk-based remote and onsite branch office inspections under FINRA 3110.
Own the full inspection lifecycle: planning, scoping, fieldwork, reporting.
Assist in risk assessment for registered and non-branch locations.
Identify areas for enhanced monitoring and ongoing monitoring activities.
Prepare workpapers and comprehensive inspection reports for stakeholders.
Build relationships and communicate deficiencies before report issuance.
Oversee remediation and track issues to closure; collaborate cross-functionally.
Travel for onsite inspections as required.