Director, US Markets Compliance Advisory, TD Securities

Director, Us Markets Compliance Advisory

We are looking for a Director, US Markets Compliance Advisory to join our team in New York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Director will primarily focus on the management of the firms compliance program supporting all corporate investment banking functions including M&A, Debt and Equity Capital Markets.

The Director Compliance TDS oversees / leads a team(s) of specialists / professionals providing 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 on function / business / product regulations 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 senior function / 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 :

Education & Experience :

Preferred Qualifications :

Physical Requirements :

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

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.

Who We Are :

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package : Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation / incentive 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.

Additional Information : We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development