Director, Equities Compliance

Work Location:

Hours:

Line of Business:

Pay Detail:

TD 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:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidates skills and experience job-related knowledge licensure and certifications geographic location and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience it is not typical for an individual to be hired at or near the top of the range for their role.

Job Description:

Position Summary

The candidate must possess extensive compliance advisory experience supporting equities sales and trading businesses with a strong background in Cash and HighTouch equities with deep expertise in principal trading and marketmaking activities as well as OTC and exchangetraded addition the role requires demonstrated experience advising on electronic sales and trading platforms with an understanding of the unique regulatory and supervisory considerations applicable to automated and electronic trading environments in addition to high touch trading.

The role will focus on strengthening and enhancing the equities compliance program ensuring alignment with applicable regulatory requirements supervisory expectations and industry best practices. The successful candidate will provide realtime riskfocused compliance guidance to the business with an emphasis on proactively identifying issues uplifting controls and governance and delivering practical solutions that appropriately balance regulatory obligations firm risk and evolving regulatory expectations.

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 & Options 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

Perform 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.

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 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

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.

*General Job Description:

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.

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

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 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 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.

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.

If youre 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.

Were 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 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.