Director – Equities Compliance Advisory

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$200,000 - $225,000 USD

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.

Job Description:

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
• 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.

Education & Experience:

• Bachelors degree or progressive work experience
• 7-10 years related experience at minimum

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 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-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. 

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 [email protected].  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.