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 candidate's 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.
Overview:
Our TD Securities (US) Compliance department is looking to hire a Director to join our Equities Compliance Advisory team in our New York office (US headquarters).
The successful candidate must possess extensive compliance advisory experience supporting equities sales and trading businesses, with a strong background in Cash and High‑Touch equities, with deep expertise in principal trading and market‑making activities, as well as OTC and exchange‑traded equities. In 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 real‑time, risk‑focused 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 practices
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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
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:
Bachelor's degree required; JD degree a plus
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
*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.
Concentrating for long periods of time: Continuous
Applying common sense to deal with problems involving standardized situations: Continuous
Reading, writing and comprehending instructions: Continuous
Adding, subtracting, multiplying and dividing: Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
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.
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-be
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