Director, Equities Compliance

TD Bank; New York (NY); On-site; USD 180,000 - 225,000; Full time

Job summary

Une institution financière recherche un Directeur de la Conformité pour superviser les activités liées aux valeurs mobilières à New York. Le candidat idéal doit avoir au moins 8 ans d'expérience en conseil réglementaire et en conformité. Ce rôle implique de fournir des conseils sur les politiques de l'entreprise, de suivre les tendances réglementaires et d'élaborer des stratégies de conformité. Un baccalauréat est nécessaire et une voix proéminente dans des environnements à haut risque est exigée.

Qualifications

• 8+ années d'expérience en conseil en valeurs mobilières.
• Expérience dans la vente et le trading d'actions.
• Capacité à évaluer l'impact des lois et réglementations.

Responsibilities

• Fournir des conseils sur la conformité réglementaire aux équipes commerciales.
• Identifier les tendances réglementaires influençant les activités.
• Élaborer des stratégies pour soutenir les objectifs de conformité.

Skills

Connaissance des lois sur les valeurs mobilières

Excellente communication orale et écrite

Capacité à travailler sur plusieurs projets

Compétences en matière de conformité réglementaire

Education

Baccalauréat

Job description

Nous et certains tiers sélectionnés utilisons des technologies et des outils de suivi (témoins) pour recueillir des renseignements sur votre utilisation de ce site Web. Les témoins essentiels soutiennent les fonctionnalités de base du site, la sécurité et la protection des renseignements personnels. Ils restent activés à moins que vous les désactiviez dans les paramètres de votre navigateur. Si vous choisissez de désactiver les témoins essentiels, certaines fonctionnalités du site Web pourraient ne pas fonctionner comme prévu, ce qui pourrait nuire à votre expérience. Les témoins non essentiels recueillent certains renseignements sur votre utilisation de notre site Web, qui fournissent des données supplémentaires et peuvent également être utilisés par des tiers à leurs propres fins et conformément à leurs politiques en matière de protection des renseignements personnels et de témoins. Les témoins non essentiels demeurent désactivés, à moins que vous choisissiez de les accepter. Pour obtenir de plus amples renseignements, consultez notre **.****Work Location**:New York, New York, États-Unis d'Amérique**Hours:**40**Line of Business:**Conformité**Pay Detail:**$180,000 - $225,000 USDTD 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:**Preferred Qualifications: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.Job Description:Position SummaryThe 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 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 objectivesPosition 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 plusWho We AreTD 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.*\*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**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,