Senior Compliance Officer-Branch Inspections

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. 

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 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.

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

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple.  Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected].  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.