Director, Equities Compliance Advisory

TD Securities (USA) LLC; New York (NY); On-site; USD 200,000 - 225,000; Full time

Job summary

TD Securities (US) in New York is seeking a Director of Equity Compliance Advisory to join our Equities Compliance Advisory team. You will provide real-time regulatory guidance and oversight for equities sales and trading, including cash and high-touch trading, principal trading, and market-making activities.

You will help strengthen the program and ensure alignment with regulatory expectations. The role requires extensive advisory experience, strong knowledge of securities laws, and the ability

Qualifications

• Bachelor's degree required; JD degree a plus.
• 8+ years of securities advisory experience with equities trading knowledge.
• Strong knowledge of applicable securities laws, rules and regulations.

Responsibilities

• Advise business areas on firm policies, regulatory requirements and industry best practices.
• Identify regulatory trends and developments impacting business activities.
• Maintain and oversee Equity & Options Trading activities.
• Assist with drafting and updating policies and procedures.
• Provide regulatory/compliance training.
• Participate in investigations, regulatory inquiries, and audits.

Skills

Regulatory compliance

Equities trading

Regulatory advisory

Communication skills

Regulatory knowledge

Education

Bachelor's degree

JD degree (preferred)

Job description

TD Securities (US) in New York is seeking a Director of Equity Compliance Advisory to join our Equities Compliance Advisory team. You will provide real-time regulatory guidance and oversight for equities sales and trading, including cash and high-touch trading, principal trading, and market-making activities.

You will help strengthen the program and ensure alignment with regulatory expectations. The role requires extensive advisory experience, strong knowledge of securities laws, and the ability