Director, Head of Electronic Trading Compliance Advisory

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

190,000 - 250,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role

Job Description:

Position Summary
Candidate must have compliance advisory experience with background in electronic trading, some Municipality Securities or Fixed Income experience also a plus. This role will support the integration of a newly acquired quantitative trading Firm by TD Securities (USA) LLC into the overall Compliance Framework. Focus will be on providing real-time compliance advice to the business throughout the integration and moving forward. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice.

Responsibilities:
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
• Maintain and Oversee the Firm’s Electronic Trading activities
• Assist the business on implementing and documenting various supervisory/control mechanisms.
• Assist the business on drafting, updating, and implement relevant policies and procedures.
• Provide regulatory/compliance training.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators
• Perform testing and monitoring of compliance with firm policies for covered business areas
• Conduct compliance risk assessments to ensure effective business control framework
• Analyze new regulations and conduct business-based analysis and execute requite implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance/business objectives

Position Requirements
• Approximately 10+ years of securities advisory experience. Knowledge of trading algorithms, alternative trading systems and market structure preferred
• Significant experience in providing legal, regulatory or compliance advice to Electronic Trading Business
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, MSRB and OCC, Exchange Level SROs.
• Excellent oral and written communication skills.

• Ability to make, support and defend difficult and complex regulatory/compliance decisions 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

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.

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