Senior Compliance Officer-Branch Inspections

TD•New York, NY

2d•$120,000 - $145,000

About The Position

The Senior Compliance Officer is a member of the TD Securities U.S. Core Compliance team, primarily supporting the Branch Inspection Program. The role conducts risk-based inspections of branch and non-branch locations, evaluates supervisory controls, identifies compliance risks, and supports remediation. The officer also assists with other Core Compliance initiatives and may contribute to the broader Compliance Monitoring program as needed. The position provides advice, guidance, and support to business units on regulatory and compliance requirements and helps implement compliance initiatives to manage regulatory risk. Inspections may be conducted remotely or onsite and require travel as needed.

Requirements

Bachelor’s degree (BA/BS) or similar degree.
At least 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 work in a fast-paced, deadline-driven environment, manage time and plan effectively, and handle multiple assignments.
Knowledge of institutional broker-dealer activities, including 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 organizational levels and collaborate in teams of varying sizes.
Excellent written and verbal communication skills, including drafting regulatory-compliant reports and communicating findings to senior management.
Willingness to travel for onsite inspections as required.

Nice To Haves

FINRA Series 7 or 79.

Responsibilities

Conduct risk-based remote and onsite branch office inspections in accordance with FINRA Rule 3110, regulatory requirements, firm policies, and established methodology.
Own the inspection lifecycle, including planning, scoping, fieldwork, documentation, stakeholder communication, and final report issuance.
Contribute to risk assessments for registered branch offices and non-branch locations.
Identify areas for enhanced monitoring and contribute to ongoing monitoring of previously identified activities.
Prepare workpapers for each review in accordance with firm standards.
Prepare reports communicating inspection scope, findings, and required corrective actions to stakeholders.
Build relationships with key stakeholders and communicate deficiencies before report issuance.
Oversee remediation of inspection issues and track them to closure.
Work with other functions and business areas to support a culture of compliance.
Participate in special projects to enhance compliance functions.
Provide advice, guidance, and support to business units on regulatory and compliance requirements and assist with compliance initiatives.