Director, Compliance - Registrations, Licensing, and Employee Conflicts, TD Securities

TD; New York (NY); On-site; USD 185,000 - 225,000; Full time

Job summary

Join TD Securities as a Director of Compliance, overseeing registrations and licensing processes essential for TD’s Wholesale businesses. This pivotal role involves managing compliance teams, ensuring regulatory adherence, and addressing employee matters in a fast-paced environment. Candidates with strong leadership and analytical capabilities will thrive in this opportunity to impact a major financial institution.

Benefits

Health and well-being benefits

Paid time off

Career development opportunities

Qualifications

• 7-10 years related experience required.
• Ten or more years securities compliance experience preferred.
• Ability to thrive in a fast-paced, deadline-driven environment.

Responsibilities

• Manage registration, licensing, entity filing, and employee matters.
• Oversee a team of specialists on regulatory compliance.
• Respond to regulatory inquiries and maintain compliance records.

Skills

Interpersonal Skills

Analytical Skills

Leadership Skills

Communication Skills

Client Service Skills

Education

Bachelor's Degree

Tools

Word

Excel

PowerPoint

Job description

Director, Compliance - Registrations, Licensing, and Employee Conflicts, TD Securities

Join to apply for the Director, Compliance - Registrations, Licensing, and Employee Conflicts, TD Securities role at TD

Director, Compliance - Registrations, Licensing, and Employee Conflicts, TD Securities

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Join to apply for the Director, Compliance - Registrations, Licensing, and Employee Conflicts, TD Securities role at TD

Work Location:

New York, New York, United States of America

Hours

40

Line Of Business

Compliance

Pay Detail

$185,000 - $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

We are seeking a Director TDS – Compliance to join our Core Compliance team in New York City. This role will manage the registration, licensing, entity filing and employee matters in connection with TD's US Wholesale businesses.

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.

Responsibilities

• Oversee the registration requirements for four broker-dealers, the swap dealer, and the security-based swap dealer.
• Manage registrations and licensing team primarily responsible for FINRA and swap-dealer individual and branch registrations.
• Responsible for routine and ad hoc filings related to complaints, reportable issues, disclosures, and broker dealer requirements.
• Respond to regulatory inquiries related to employee matters and client complaints.
• Work with Human Resources and, if required, Legal, on employee matters related to onboarding and offboarding.
• Oversee employee outside activity workflow and manage related disclosures to FINRA.
• Assist with FINRA requirements related to branch inspections including supporting the risk assessment process for work locations/remote inspections, responding to requests for registrations and continuing education data, and other related requests.
• Maintain up-to-date branch location directory and responsible for verifying that branch locations are appropriately designated and have the correct supervision structure.
• Assist in the ongoing development of core compliance processes, as applicable.
• Participate in enterprise-wide special projects.
  
  

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
  
  

Preferred Qualifications

• Ten or more years securities compliance or related securities experience preferred.
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.
• Excellent interpersonal, organizational, leadership and communication (oral and written) skills.
• Client service skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
• Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
• Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
• A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
• Proficient in Word, Excel and PowerPoint
  
  

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

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

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Banking

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