Nicole Couturiaux
Compliance Officer
- Role
- Compliance Officer at TD Securities
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Nicole Couturiaux
FINRA Series 7 and Series 24 registered principal with 10+ years in fast-paced…
Experience
Compliance Officer
Sep 2024 — Present · New York, NY, US
Conducted in-person and remote OSJ branch inspections pursuant to FINRA Rule 3110- Expanded and modernized branch inspection processes, workpapers, and templates- Reviewed marketing materials and analyzed reports related to registrations, personal trading, private investment, gifts & entertainment, OBAs, etc- Identified findings and observations in written reports; issued risk ratings; tracked remediation progress in an internal Compliance Issues Management System- Galvanized business unit partners to refine or develop compliance strategies and procedures- Assisted with exam scoping while cross-training with Monitoring & Testing team
Education
Real Estate Express
75-hour New York Pre-license Course
2020 — 2020
Dickinson College
Bachelor's Degree
2008 — 2012
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