Advisory Compliance Lead – Dublin (Hybrid)

TD Bank; Dublin; Hybrid; EUR 93,000 - 140,000; Full time

Job summary

TD Bank is seeking an Advisory Compliance Manager, TDGF, to lead compliance activities for TDGF, Global Markets and Corporate Investment Banking. The role requires deep knowledge of EU/UK financial services regulation and experience in transaction reporting, with responsibilities spanning risk assessment, policy creation, and training.

The position offers a base salary range of €93,200–€139,800, plus a discretionary variable compensation opportunity.

Qualifications

• Minimum of 5-7 years of demonstrated relevant experience in the industry.
• Working knowledge of the applicable requirements of the EU and UK financial services regime, CRD, MiFID II, EMIR, MAR and industry best practices.
• Experience of transaction reporting including MIFIR RTS 22, EMIR, and SFTR.

Responsibilities

• Quickly build an understanding of the business lines, including booking models, products, transaction types and nature of business, covering and providing advice to multiple trading and sales desks.
• Build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.
• Assess new business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required.
• Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.
• Act as the point of contact relating to transaction reporting questions from relevant operations and technology teams
• Represent Compliance in transaction reporting related meetings and forums
• Advise on the interpretation of market integrity, conduct and transaction reporting rules across CRD MiFID, MAR, MiFIR, EMIR, and SFTR
• Create and deliver training to the business and other functions as required, covering topics such as transaction reporting, market abuse, trading venue rules and other topics pertinent to specific business lines.
• Creation and review of Advisory Compliance policies and procedures.
• Review and prepare notifications in respect of obligations that may arise for the firm in relation to the Short Selling Regulation, Takeover Panel Rules and Transparency Directive.
• Review escalations of potential market abuse from internal trade surveillance partners, the business and others. Provide analysis and reasoning to senior management as required to assist in escalation decision making, including preparation for potential STOR submissions.
• Assist with responding to any relevant regulatory requests.

Skills

Regulatory compliance

Transaction reporting

Stakeholder management

EU/UK regulations

Job description

TD Bank is seeking an Advisory Compliance Manager, TDGF, to lead compliance activities for TDGF, Global Markets and Corporate Investment Banking. The role requires deep knowledge of EU/UK financial services regulation and experience in transaction reporting, with responsibilities spanning risk assessment, policy creation, and training.

The position offers a base salary range of €93,200–€139,800, plus a discretionary variable compensation opportunity.