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

• 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, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for 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 (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

Physical Requirements

• 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