Director, Equities Compliance

Overview

Work Location
:
New York, New York, United States of America

Hours
: 40

Line Of Business
:
Compliance

Pay Detail
: $180,000 - $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  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 /
Preferred Qualifications
:
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.

The 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.

• 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 requisite implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance/business objectives

• 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…