Director, Equities Compliance Advisory - TD Securities (US)
Core
Director leading the Equities Compliance Advisory team, providing real-time risk-focused guidance to equities sales and trading businesses to ensure alignment with regulatory requirements and supervisory expectations.
Role type
Senior IC compliance director (equities)
Builds
Equities compliance program, policies, procedures, and control mechanisms for Cash, High-Touch, principal trading, and market-making activities.
Domain
Financial services / Securities regulation / Equities trading
Deliverable
dashboards & analysis
Required skills
Equities compliance advisory, Securities laws (FED, FINRA, SEC, OCC, SROs), Regulatory trend analysis, Policy and procedure development, Internal investigations, Regulatory reporting, Compliance risk assessment, Electronic trading platform knowledge
Preferred skills
Trading algorithms, Alternative trading systems, Market structure, Technology infrastructure, Global booking models
Responsibilities
Advise business areas on firm policies and regulatory requirements, Identify regulatory trends and advise staff, Maintain and oversee Equity & Options Trading activities, Assist in implementing supervisory/control mechanisms, Provide regulatory/compliance training, Interact with federal and state regulators, Conduct compliance risk assessments, Provide ongoing reporting to senior management
Seniority
Director, strategic leadership & team oversight