Head of Equities Compliance Advisory

TD Bank; New York (NY); Vor Ort; USD 200.000 - 225.000; Vollzeit

Zusammenfassung

TD Securities (US) in New York seeks a Director to lead the Equities Compliance Advisory team, providing real-time, risk-based regulatory guidance to the equities sales and trading business. The role emphasizes advanced knowledge of market structure, electronic trading, and regulatory expectations, with oversight of policy, controls, and governance.

The candidate will partner with senior management to uplift controls, deliver practical solutions, and ensure alignment with FED, FINRA, SEC, OCC,

Qualifikationen

• Bachelor's degree required; JD degree a plus.
• 8+ years of securities advisory experience.
• Strong knowledge of securities laws, rules and regulations.
• Experience advising Equity Sales & Trading teams.
• Ability to provide real-time regulatory guidance and make clear, defensible decisions.

Aufgaben

• Advise business on policies, regulatory requirements and best practices.
• Identify regulatory trends impacting equities trading and advise staff accordingly.
• Maintain and oversee the firm’s Equity & Options Trading activities.
• Draft, update and implement relevant policies and procedures.
• Provide regulatory/compliance training and participate in audits/inspections.
• Interact with federal and state regulators and coordinate investigations.
• Conduct risk assessments and develop proactive compliance strategies.

Kenntnisse

Securities advisory experience

Regulatory compliance

Trading knowledge

Regulatory guidance

Communication skills

Audit & investigations

Ausbildung

Bachelor's degree

Juris Doctor (JD) preferred

Jobbeschreibung

TD Securities (US) in New York seeks a Director to lead the Equities Compliance Advisory team, providing real-time, risk-based regulatory guidance to the equities sales and trading business. The role emphasizes advanced knowledge of market structure, electronic trading, and regulatory expectations, with oversight of policy, controls, and governance.

The candidate will partner with senior management to uplift controls, deliver practical solutions, and ensure alignment with FED, FINRA, SEC, OCC,