Head of Compliance, Employee Trading, TD Securities (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$200,000 - $280,000 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:

This role is responsible for leading, managing, and continuously improving the Global Employee Trading Compliance program within TD and TDS. This role includes full ownership and enhancement of policies related to employee trading and insider dealing, including the TD Window policy and the information barrier policy.

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
• Reports compliance-related issues to Senior Management as appropriate
• Provides daily advisory support to all businesses governed by the relevant policies and collaborate with all Compliance stakeholders
• Enhances and revises compliance policies by obtaining buy-in from business stakeholders, their supervisory groups, and Compliance
• Fosters strong relationships with front office staff and supervisors to assess risk and address issues promptly
• Oversees the design and maintenance of employee trading procedures
• Acts as the main point of contact for Compliance testing, internal audits, and external regulatory reviews, including inquiries, audits, and examinations
• Builds strong relationships with all business and compliance stakeholders
• Builds and own the vendor relationships for all vendors that support the employee trading program
• Leads the management of a large team conducting all activities associated with personal trade monitoring and surveillance
• Manage the creation and delivery of training for businesses affected by these policies
• Monitor regulatory developments and trends, taking necessary action to ensure ongoing compliance with new or revised regulations

Education & Experience:

• University degree required
• 15+ years of industry experience
• Prior experience managing a Global Employee Trading Compliance program at a GSIB or similar organization
• Familiarity with FINRA, CIRO, and applicable global securities laws and industry best practices regarding insider trading and employee trading
• Understanding of market structures, operations, and related regulatory issues
• Extensive knowledge of investment banking activities; in-depth product knowledge is considered an asset
• Ability to perform effectively under pressure and meet deadlines
• High personal integrity in managing confidential and sensitive information
• Completion of other industry courses considered an asset but not required
• Ability to interpret, analyze, and apply regulations operationally in a dynamic environment with competing priorities
• Strong project management skills, including the ability to prioritize and manage multiple projects with tight deadlines
• Ability to work both independently and as part of a team, with an understanding of when to escalate matters to senior management

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 strive to make every interaction, product and experience remarkably human and refreshingly simple.  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. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

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.

Colleague Development

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. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.