Senior Compliance Officer-Branch Inspections

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

Résumé du poste

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.

Qualifications

• 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.

Responsabilités

• 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.

Formation

BA/BS or equivalent

Description du poste

Work Location

New York, New York, United States of America

Hours

40

Line of Business

Compliance

Pay Detail

$120,000 - $145,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

Job Description

The Senior Compliance Officer will be a key member of the TD Securities U.S. Core Compliance team, primarily supporting the Branch Inspection Program. The role is responsible for conducting risk-based branch and non-branch location inspections, evaluating supervisory controls, identifying compliance risks, and supporting remediation efforts. The successful candidate will also assist with other Core Compliance initiatives and may contribute to broader Compliance Monitoring program as needed.

Depth & Scope

Compliance Branch Inspections:

• Conduct risk-based remote and onsite branch office inspections in accordance with FINRA Rule 3110, applicable regulatory requirements, firm policies, and established inspection methodology.
• Take ownership of the full inspection lifecycle, including planning, scoping, fieldwork, documentation, stakeholder communication, and final report issuance.
• Help shape the risk assessment process for registered branch offices and non-branch locations by applying sound judgment and a strong understanding of regulatory requirements and firm risk.
• Assist in identifying areas for enhanced monitoring and contribute to the ongoing monitoring of previously identified monitoring activities.
• Prepare workpapers for each review in accordance with firm standards.
• Prepare comprehensive, well-supported reports that clearly communicate inspection scope, findings, and required corrective actions to the appropriate Stakeholders.
• Build relationships with Key Stakeholders and communicate deficiencies of the findings in advance of report issuance.
• Oversee remediation of issues identified in the inspection process and track issues to closure.
• Work closely with other functions and the business areas to support a culture of compliance across the Firm.
• Participate in special projects as they arise to enhance compliance functions.
• Willingness to travel for onsite inspections, as required.

Education & Experience

• BA/BS or a similar degree required.
• 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, branch office supervision requirements, and securities industry regulations.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
• Knowledge of institutional broker-dealer activities, such as Global Markets, Institutional Sales and Trading, Research, and Investment Banking.
• Experience conducting risk-based inspections, reviews, audits, or examinations of registered and non-registered locations.
• Ability to communicate effectively across all levels of the organization and collaborate within teams of varying sizes.
• Excellent written and verbal communication skills, including experience drafting regulatory-compliant reports and communicating findings to senior management.
• FINRA Series 7 or 79 preferred.

General

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.