Head of Compliance, Regulatory Initiatives, TD Securities

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$170,000 - $300,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

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:

Depth & Scope:

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Executes on TDS Compliance Initiatives in accordance with the TD Global Compliance Department Mandate and the Regulatory Compliance Management Program

• Facilitates the support of strategy for the Compliance team by supporting the design and implementation of stakeholder engagement plans, programs and projects to support TDS regulatory Compliance objectives 

• Works closely with the Regulatory Change team within Compliance on interpreting the impact and advising management of current and emerging regulatory and compliance issues, industry or market developments to ensure that anticipated and regulatory changes are considered in business activities and strategic plans

• Leads the strategy and long-term enablement and capabilities planning for Compliance programs by anticipating emerging issues and translating business and organizational challenges into sustainable strategies to continue to meet regulatory expectations and be appropriately aligned with industry practices of peer institutions

• Leads strategic program initiatives to continuously improve Compliance enablement and capabilities

• With Compliance and Risk partners promotes a strong governance & control environment with periodic assessments against industry practices

Education & Experience:

• JD preferred

• Graduate Degree

• 10+ years of experience in a Securities business in compliance oversight

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. Learn more
 

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.