Td Bank Director US Markets Compliance Advisory TD Securities 

United States, New York, New York 

318787371

New York, New York, United States of America

$225,000 - $250,000 USD

Job Description:

The Director Compliance TDS oversees/leads a team(s) ofspecialists/professionalsproviding advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Responsibilities:

• Directs day-to-day activities of the Investment Banking Compliance team in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits. Communicates the Bank’s risk culture and risk appetite statement throughout the Investment Banking Compliance team. Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• Designs, develops, delivers and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC.

• Ensure comprehensive and robust policies and procedures (including written supervisory procedures) governing investment banking, securities underwriting, private placements.

• Provides strategic vision to the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific. Leads the provision of expert guidance onfunction/business/productregulations on a real-time basis to manage compliance risk.

• Provides day-to-day strategic advice and guidance to front office and relevant control functions regarding (i) public and private offerings of equity and debt securities

• Oversees the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to Investment Banking Compliance across all jurisdictions. Analyzing and scoping the impact of new and complex regulatory and compliance developments across seniorfunction/business/product,including cross-border impact.

• Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including the coordination of global implementations of new regulatory requirements.

• Participating in industry groups and trade association working groups or other forums.

• Accountable for the investigative process related to possible instances of non-compliance and ensures escalation to the appropriate teams/individuals for appropriate remediation or corrective actions as required.

• Assist with development and delivery of training program for front office personnel and relevant control personnel.

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.

• Position deals with senior/executive management.

• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.

• Focuses on longer-range planning for functional area (e.g. 12 months or greater).

• Manages and prioritizes multiple projects at a given time.

Education & Experience:

• Bachelors degree or progressive work experience

• 7-10 years related experience

Preferred Qualifications:

• 7-10 years related experience, ideally 10+ years of compliance advisory experience. Similar experience with a regulator or law firm will be considered.

• Experience in providing legal, regulatory or compliance advice to Markets sales and trading

• Knowledge Corporate Investment Banking and Capital Markets • Directs day-to-day activities of the Investment Banking Compliance team in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits. Communicates the Bank’s risk culture and risk appetite statement throughout the Investment Banking Compliance team. Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC Rules, Trade Reporting, Etc.

• Excellent oral and written communication skills.

• Ability to make, support and defend difficult and complexregulatory/compliancedecisions in a fast-paced and high pressured 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; leveraging and sharing best practices and insights with colleagues globally;

• JD a plus

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.

• Position deals with senior/executive management.

• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.

• Focuses on longer-range planning for functional area (e.g. 12 months or greater).

• Manages and prioritizes multiple projects at a given time.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel: Occasional

• International Travel: Never

• Performing sedentary work: Continuous

• Performing multiple tasks: Continuous

• Operating standard office equipment: Continuous

• Responding quickly to sounds: Occasional

• Sitting: Continuous

• Standing: Occasional

• Walking: Occasional

• Moving safely in confined spaces: Occasional

• Lifting/Carrying (under 25 lbs.): Occasional

• Lifting/Carrying (over 25 lbs.): Never

• Squatting: Occasional

• Bending: Occasional

• Kneeling: Never

• Crawling: Never

• Climbing: Never

• Reaching overhead: Never

• Reaching forward: Occasional

• Pushing: Never

• Pulling: Never

• Twisting: Never

• Concentrating for long periods of time: Continuous

• Applying common sense to deal with problems involving standardized situations: Continuous

• Reading, writing and comprehending instructions: Continuous

• Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.