TD Bank
Director, Compliance - Branch Inspections Team Lead, TD Securities
TD Bank, New York, New York, us, 10261
* 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.* Bachelors degree or progressive work experience* 7-10 years related experience* 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 (oral and written) skills.* Demonstrate excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.* Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.* Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.* Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.* Proficient in Word, Excel and PowerPoint* Domestic Travel: Occasional* International Travel: Never* Performing sedentary work: Continuous* Performing multiple tasks: Continuous* Operating standard office equipment: Continuous* Responding quickly to sounds: Occasional* Sitting: Continuous* Standing: Occasional* Walking: Occasional* Moving safely in confined spaces: Occasional* Lifting/Carrying (under 25 lbs.): Occasional* Lifting/Carrying (over 25 lbs.): Never* Squatting: Occasional* Bending: Occasional* Kneeling: Never* Crawling: Never* Climbing: Never* Reaching overhead: Never* Reaching forward: Occasional* Pushing: Never* Pulling: Never* Twisting: Never* Concentrating for long periods of time: Continuous* Applying common sense to deal with problems involving standardized situations: Continuous* Reading, writing and comprehending instructions: Continuous* Adding, subtracting, multiplying and dividing: Continuous**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.**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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
**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.**Our Values**
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.
**Our Commitment to Diversity, Equity, and Inclusion**
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
**Helping to Make an Impact in Communities – TD Ready Commitment**
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more:
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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.**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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
**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.**Our Values**
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.
**Our Commitment to Diversity, Equity, and Inclusion**
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
**Helping to Make an Impact in Communities – TD Ready Commitment**
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more:
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| #J-18808-Ljbffr