Director, Equities Compliance Advisory - TD Securities (US)

Work Location : New York, New York, United States of America Hours : 40 Line Of Business : Compliance Pay Detail : $200,000 - $225,000 USD Overview Our TD Securities (US) Compliance department seeks a Director to join the Equities Compliance Advisory team at our New York headquarters. The successful candidate will possess extensive compliance advisory experience supporting equities sales and trading, including Cash, High‑Touch equities, principal trading, market‑making, OTC, and exchange‑traded equities. The role will focus on strengthening and enhancing the equities compliance program, ensuring regulatory alignment, and providing risk‑focused guidance to the business. Responsibilities Advise business areas on firm policies and procedures, regulatory requirements and industry best practices Identify regulatory trends and developments that impact business areas, advising staff on impacts Maintain and oversee the firm’s Equity & Options Trading activities Assist the business on implementing and documenting supervisory/control mechanisms Assist the business on drafting, updating, and implementing relevant policies and procedures Provide regulatory/compliance training Participate in internal investigations, respond to regulatory inquiries, and coordinate 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 an effective business control framework Analyze new regulations and conduct business‑based analysis to execute required implementation Provide ongoing reporting to senior management Develop and deliver proactive strategies and tactics that support compliance and business objectives Position Requirements Bachelor’s degree required; JD degree a plus 8+ years of securities advisory experience. Knowledge of trading algorithms, alternative trading systems, and market structure preferred. Significant experience 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, including FED, FINRA, SEC, OCC, and Exchange Level SROs (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, high‑pressure 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, sharing best practices and insights with colleagues worldwide Education & Experience Bachelor’s degree or progressive work experience 7–10 years of related experience at minimum Accommodation & Equal Opportunity 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 View email address on click.appcast.io. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. #J-18808-Ljbffr TD