Head of Compliance, Global Markets, TD Securities (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$250,000 - $370,000 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 the execution and oversight of the compliance framework for TDS Global Markets business while simultaneously serving as the designated U.S. Chief Compliance Officer. The role provides independent oversight and credible challenge across sales & trading, capital markets, derivatives, structured products, electronic trading, and markets infrastructure activities.  This role requires deep regulatory expertise, strong executive presence, and the ability to lead a large global compliance organization in a complex fast-moving environment.

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
• Oversees compliance support for complex transformation initiatives, including digital trading, algorithmic/electronic platforms, and market structure changes
• Leads compliance integration for mergers, acquisitions, divestitures, and business restructurings impacting Global Markets
• Ensures compliance frameworks effectively address market conduct, conflicts of interest, information barriers, suitability, best execution, trade surveillance and sales practices
• Serves as senior advisor to TDS Global Markets business heads on regulatory risks, product launches, new market entry and strategic initiatives
• Drives continuous improvement of surveillance, monitoring, and data analytics capabilities
• Acts as the designated TDS U.S. Chief Compliance Officer, accountable for TDS U.S. compliance program and regulatory obligations
• Maintains direct engagement with the U.S. regulators including exams, inquiries, remediation and enforcement matters
• Provides regular reporting to the Board and Board Committee on compliance risks, issues and program effectiveness
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand
• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills

Education & Experience:

• Bachelor's degree required
• Juris Doctor (JD) or equivalent advanced degree preferred
• 20+ years of experience in compliance, legal, or regulatory roles within global financial markets.
• Deep, hands-on knowledge of U.S. and international markets regulation (SEC, CFTC, FINRA, ESMA, FCA, APAC regulators).
• Demonstrated experience serving in, or operating at, a Chief Compliance Officer or equivalent executive capacity
• 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
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in advisory, policy, change management, project management and operations
• Strategic thinker; has excellent judgment, achieves the right risk/reward balance
• Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
• Transparent communicator and respected TD representative, both internally and externally
• Ability to work in a fast-paced environment and manage multiple priorities
• Ability to operate in an evolving, sometimes ambiguous, matrixed environment

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.