Director, Equities Compliance
$180k/y-$225k/y
TD15 days ago
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OnsiteFull-timeSenior
Summary
TD is seeking a Director, Equities Compliance to join their team in New York, NY. The role involves overseeing compliance for equities sales and trading businesses, ensuring alignment with regulatory requirements and industry best practices.
About the Role
As the Director of Equities Compliance, you will be responsible for providing compliance guidance, maintaining oversight of equity and options trading activities, advising on regulatory trends, and developing compliance strategies. You will also lead a team, interact with regulators, and ensure effective business control frameworks are in place.
About You
Required:
- Approximately 8+ years of securities advisory experience.
- Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Business.
- Strong knowledge of applicable securities laws, rules and regulations.
Preferred:
- Knowledge of trading algorithms, alternative trading systems and market structure.
- JD (Juris Doctor) degree.
Benefits
- Competitive salary range of $180k–$225k.
- Comprehensive benefits package including health and well-being benefits, savings and retirement programs, and paid time off.
TD
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD). TD is the sixth largest bank in North America by assets & serves approx. 28 million customers in a number of locations in key financial centres around the globe. With over 95,000 employees, TD ranks among the world's leading online financial firms, with more than 17 million active online and mobile customers. Delivering legendary customer experiences is who we are & is part of our goal to be the Better Bank. Visit our Careers page to learn more about TD & why TD is a great place to work.
New York, NY