TD Bank
Senior Compliance Officer-Branch Inspections
$120K–$145K
New York, New York · Office Focused · Senior · Full-time · Posted Oct 29, 2026
- Experience
- 5+ years; qualifying areas include Compliance, Risk, Audit, Branch Inspection, or supervisory experience within a broker-dealer, investment bank, or financial institution.
- Education
- BA/BS or a similar degree required.
About the job
Conducts risk-based branch and non-branch inspections for TD Securities U.S. Core Compliance, assesses supervisory controls and compliance risks, and oversees remediation.
What you'll do
- Manage the inspection lifecycle, from planning and fieldwork through documentation and final reporting.
- Identify compliance issues, communicate findings, and track corrective actions to closure.
- Support monitoring and other Core Compliance initiatives; travel for onsite inspections as required.
What they ask for
- BA/BS or a similar degree.
- 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.
- Experience conducting risk-based inspections, reviews, audits, or examinations of registered and non-registered locations.
Nice to have
- FINRA Series 7 or 79.
- Knowledge of institutional broker-dealer activities, such as Global Markets, Institutional Sales and Trading, Research, and Investment Banking.
Pay
$120,000 - $145,000 USD (base salary)
Tools
FINRA Rule 3110
Model-written summary · the original posting is authoritative