Senior Compliance Manager – Branch Inspections
TD
full-time
Posted on:
Location Type: Office
Location: Mount Laurel • Florida • New Jersey • United States
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Salary
💰 $115,440 - $173,160 per year
Job Level
About the role
- Manage Branch Examinations and Internal Investigations Team
- Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules
- Develop and prepare compliance reports on risks and trends
- Conduct periodic compliance testing, surveillance, and risk assessments
- Provide training to the field on various regulatory topics
Requirements
- Undergraduate degree or equivalent work experience
- 10+ years of experience
- Experience working in an integrated wealth business as a bank subsidiary
- Knowledge and experience within compliance or audit, legal and regulatory environment
- Ability to research, interpret and summarize relevant regulatory expectations
- FINRA Series 7, 63 and 24 preferred
- Demonstrated business writing abilities
Benefits
- 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 opportunities
- Reward and recognition plan
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance reportingrisk assessmentcompliance testingsurveillance
Soft Skills
business writingresearchinterpretationsummarizationtraining
Certifications
FINRA Series 7FINRA Series 63FINRA Series 24