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

TD • New York, NY

3d • $200,000 - $280,000

About The Position

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

Requirements

• 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
• 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

Nice To Haves

• Completion of other industry courses considered an asset but not required
• Extensive knowledge of investment banking activities; in-depth product knowledge is considered an asset

Responsibilities

• 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

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees