Vice President, US Markets Equities Compliance Advisory, TD Securities
Vice President, US Markets Equities Compliance Advisory, TD Securities
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$ 150000 - 185000
1 Vacancy
Job Description
Work Location:
New York New York United States of AmericaHours:
40Line of Business:
CompliancePay Detail:
$150000 - $185000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.
As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
Job Description:
Preferred Qualifications:
We are looking for a Vice President US Markets Compliance Advisory to join our team in NYC. The ideal candidate must have compliance advisory experience with background in OTC and Exchange-Traded Equities and Electronic Sales & Trading. This role will support the continued integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework. Focus will be on providing real-time compliance advice to the business with such advice tailored to resolving issues with consideration to regulatory requirements regulatory and firm risk and industry best practice.
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 Firms Equity Trading activities
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Assist the business on drafting updating and implement 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
- Assist in the performance of testing and monitoring of compliance with firm policies for covered business areas
- Conduct compliance risk assessments to ensure effective business control framework
- Analyze new regulations and conduct business-based analysis and execute requite implementation.
- Develop and deliver proactive strategies and tactics that support compliance/business objectives
Position Requirements
- 7 years of Compliance experience including 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 Businesses
- Strong knowledge of applicable securities laws rules and regulations with the ability to assess firm impact. Specifically FINRA SEC 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 pressured 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
- Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;
- JD a plus
Depth & Scope:
- Works independently and is accountable for managing a specialized compliance area business or function and leads a team of specialists
- Subject matter expert for a functional area
- Key contact for business management regulators and external/internal auditors dealing with non-routine information
- Focuses on short to mid- range planning (e.g. 6-12 months)
- Manages regulatory reviews including inquiries audits and exams
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 6500 professionals operating out of 40 cities across the globe we help clients meet their needs today and prepare for tomorrow. 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 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. We are growth-oriented people-focused and community-minded. As a team we work to deliver value for our clients every day.
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. Learn more
Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.
Interview Process
Well 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 . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.
Required Experience:
Chief
Employment Type
Full-Time
