Director Equity Research Advisory Compliance

Director Compliance Tds

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.

The successful candidate should have compliance advisory experience in Equity Research business lines and will focus on providing real-time compliance advice to the TD Securities (USA) LLC Research group, Strategist teams and others producing Market Commentary within the Firm. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice.

Key Responsibilities

• Provide day to day advice across all Business Units producing Research and Market Commentary across TDS (USA) LLC
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing compliance assessment process.
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
• Engage with the Control Room on their management of chaperoning and other items on behalf of the Business.
• Draft, update, and implement relevant policies and procedures.
• Provide regulatory / compliance training.
• Assist the business on implementing and documenting various supervisory / control mechanisms.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators
• Analyze new regulations and conduct business-based analysis and execute required implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance / business objectives

Depth & Scope

Education & Experience

Preferred Qualifications

Physical Requirements

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.