Director, Compliance - Branch Inspections Team Lead, TD Securities

Director Compliance Tds

The Director Compliance Tds 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 which include 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 highlights 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 the business areas to support a culture of compliance across the Firm.

Participate in special projects as they arise to enhance compliance functions.

Depth & Scope

Education & Experience

Preferred Qualifications

Physical Requirements