Director, Equities Compliance

New York, NY, United States

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$190,000 - $225,000 USD

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 candidate's 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.

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 Director, Equities Compliance to join our growing team in New York City. The ideal candidate must have compliance advisory experience with background in OTC and Exchange traded Equities, Options and electronic sales & trading.

This role will support the 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 throughout the integration and moving forward. Such advice will be 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 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

•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

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

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel: Occasional

International Travel: Never

Performing sedentary work: Continuous

Performing multiple tasks: Continuous

Operating standard office equipment: Continuous

Responding quickly to sounds: Occasional

Sitting: Continuous

Standing: Occasional

Walking: Occasional

Moving safely in confined spaces: Occasional

Lifting/Carrying (under 25 lbs.): Occasional

Lifting/Carrying (over 25 lbs.): Never

Squatting: Occasional

Bending: Occasional

Kneeling: Never

Crawling: Never

Climbing: Never

Reaching overhead: Never

Reaching forward: Occasional

Pushing: Never

Pulling: Never

Twisting: Never

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 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 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. 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:

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. 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 we're committed to helping you identify opportunities that support your goals.

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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.