Senior Compliance Officer-Branch Inspections

TD Bank • New York, NY

20h • $120,000 - $145,000

About The Position

The Senior Compliance Officer will be a key member of 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 successful candidate will also assist 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 assists with implementing compliance initiatives to manage regulatory risk. It owns the full inspection lifecycle—from planning and scoping through fieldwork, documentation, stakeholder communication, and final report issuance—and helps shape location risk assessments. The role also supports enhanced monitoring, prepares inspection workpapers and reports, communicates findings, tracks remediation to closure, collaborates with business and other functions, and participates in special projects. Travel for onsite inspections is required as needed.

Requirements

• BA/BS or a 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, with strong time-management and planning skills and the ability to handle multiple assignments.
• 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 organizational levels and collaborate in teams of varying sizes.
• Excellent written and verbal communication skills, including experience 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 inspections of branch and non-branch locations in accordance with FINRA Rule 3110, applicable regulatory requirements, firm policies, and established methodology.
• Own the full inspection lifecycle, including planning, scoping, fieldwork, documentation, stakeholder communication, and final report issuance.
• Help shape risk assessments for registered branch offices and non-branch locations using sound judgment and knowledge of regulatory requirements and firm risk.
• 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 comprehensive, well-supported reports communicating inspection scope, findings, and required corrective actions to stakeholders.
• Build relationships with key stakeholders and communicate deficiencies and findings 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 across the firm.
• 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 to manage regulatory risk.
• Travel for onsite inspections as required.

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
• Banking benefits and discounts
• Career development
• Reward and recognition
• Variable compensation and incentive awards, including potential cash and/or equity incentive awards

What This Job Offers

• Job Type: Full-time
• Career Level: Senior