Director, Compliance - Branch Inspections Team Lead, TD Securities - TD : Job Details

Overview

Director, Compliance - Branch Inspections Team Lead, TD Securities

Role overview: The Director Compliance TD Securities oversees and leads a team of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Work Location

New York, New York, États-Unis d\'Amérique

Hours

40

Line Of Business

Conformité

Pay

$180,000 - $225,000 USD

Job Description

The Director Compliance TD Securities oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Key Responsibilities

• Manage the day to day operations of the branch inspections team, including but not limited to:
• Conduct Branch Office Inspections both remotely and in person in accordance with FINRA RULE 3110
• Lead branch inspections and execute independently all key steps from scoping to final report issuance
• Manage and enhance the current Risk Assessment process for each registered and non-registered location in accordance with FINRA requirements and Firm expectations
• Identify patterns across branches and escalate accordingly
• Review and approve inspection reports, ensuring findings are clearly documented and remediation plans are tracked to completion
• Prepare comprehensive reports for management that highlight the overall results and findings of each Branch Inspection
• 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
• Prepare metrics and provide details for reporting on Branch Inspection progress both internally and externally to FINRA as part of the pilot program
• Collaborate with the Compliance Testing Team, as needed, on monitoring and testing engagements
• Work closely with other functions and business areas to support a culture of compliance across the Firm
• Participate in special projects as they arise to enhance compliance functions

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise-wide impact or accountability
• Position deals with senior/executive management
• Key contact for business management, regulators and external/internal auditors
• Focuses on longer-range planning for the functional area (e.g., 12 months or greater)
• Manages and prioritizes multiple projects at a given time

Education & Experience

• Bachelors degree or progressive work experience
• 7-10 years related experience

Preferred Qualifications

• BA/BS, or a similar degree
• 10 or more years of experience in, with a registered US broker dealer or regulator; Branch Inspections testing a plus
• Strong knowledge of SEC, FINRA and other relevant regulatory requirements
• Strong knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them
• Excellent interpersonal, organizational, leadership and communication skills
• Demonstrate excellent time management and planning skills, with ability to handle multiple assignments
• Client service skills and ability to advise senior and line managers on regulatory interactions
• Strong analytical skills, attention to detail, sound judgment, and ability to evaluate complex regulatory issues
• Ability to interact effectively with all levels of the organization and work collaboratively in teams
• Proficient in Word, Excel and PowerPoint

Physical Requirements

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Concentrating for long periods of time: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

The above statements describe the general nature of work and are not intended to be an exhaustive list of responsibilities, duties and skills required. These responsibilities & duties are considered essential functions for ADA purposes.

About TD Securities

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients. With more than 6,500 professionals in 40 cities, we help clients meet their needs today and tomorrow. We are growth-oriented, people-focused, and community-minded.

Accommodation & EEO

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status. If you are an applicant with a disability and need accommodations, please email [email protected].

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