Senior Compliance Officer-Branch Inspections

Location: Village of Pelham

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance Pay Detail:$120,000 - $145,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  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.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Preferred Qualifications

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 work papers 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.

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…