Director, Equities Compliance Advisory - TD Securities (US)

Job Description

The TD Securities (US) Compliance department is seeking a Director to join our Equities Compliance Advisory team in our New York office (US headquarters).

The successful candidate must have extensive compliance advisory experience supporting equities sales and trading businesses, with a strong background in Cash and High-Touch equities, including principal trading and market-making activities, as well as OTC and exchange-traded equities.

The role will focus on strengthening and enhancing the equities compliance program, ensuring alignment with applicable regulatory requirements, supervisory expectations, and industry best practices.

Responsibilities

• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
• Maintain and oversee the Firm’s Equity & Options Trading activities.
• Aid the business on implementing and documenting various supervisory/control mechanisms.
• Aid the business on drafting, updating, and implementing relevant policies and procedures.
• Provide regulatory/compliance training.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators.
• Conduct compliance risk assessments to ensure effective business control framework.
• Analyze new regulations and conduct business-based analysis and execute required implementation.
• Provide ongoing reporting to senior management.
• Develop and deliver proactive strategies and tactics that support compliance/business objectives.

Position Requirements

• Approximately 8+ years of securities advisory experience.
• Knowledge of trading algorithms, alternative trading systems and market structure preferred.
• Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Business.
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, OCC, Exchange Level SROs including NYSE, NASDAQ & CBOE.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressure environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Strong knowledge of technology infrastructure and global booking models.
• Ability to work on multiple projects in a fast-paced environment.
• Education & Experience:
• Bachelor’s degree or progressive work experience.
• Minimum of 7-10 years related experience.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product, and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. Together, we are reimagining what banking can be for our clients, colleagues, and communities.

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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.