Director, Equities Compliance Advisory – High-Touch Trading

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

Job summary

TD Securities (US) Compliance is seeking a Director to join the Equities Compliance Advisory team in New York. The role requires extensive compliance advisory experience for equities sales and trading, including high-touch and electronic trading platforms, with strong knowledge of regulatory obligations and industry best practices.

The successful candidate will lead risk-focused guidance, uplift controls, and collaborate with senior management to balance regulatory requirements with business

Qualifications

• Extensive compliance advisory experience for equities sales & trading.
• Strong knowledge of securities laws and regulatory bodies (FED, FINRA, SEC, OCC, SROs).
• Ability to provide real-time, risk-focused regulatory guidance to business units.

Responsibilities

• Advise business areas on policies, regulatory requirements and best practices.
• Identify regulatory trends and advise impact on activities.
• Maintain and oversee Equity & Options trading activities.
• Assist in drafting and updating supervisory controls and policies.
• Provide regulatory/compliance training and respond to inquiries.

Skills

Securities regulatory compliance

Equities trading compliance

Regulatory guidance

Communication skills

Education

Bachelor's degree

Juris Doctor (JD)

Job description

TD Securities (US) Compliance is seeking a Director to join the Equities Compliance Advisory team in New York. The role requires extensive compliance advisory experience for equities sales and trading, including high-touch and electronic trading platforms, with strong knowledge of regulatory obligations and industry best practices.

The successful candidate will lead risk-focused guidance, uplift controls, and collaborate with senior management to balance regulatory requirements with business