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

TD • New York, NY

1d • $250,000 - $370,000

About The Position

The Head of Compliance, Global Markets, TD Securities (US) is responsible for executing and overseeing the compliance framework for TD Securities Global Markets while serving as the designated U.S. Chief Compliance Officer. The role provides independent oversight and credible challenge across sales and trading, capital markets, derivatives, structured products, electronic trading, and markets infrastructure. It requires deep regulatory expertise, executive presence, and leadership of a large global compliance organization in a complex, fast-moving environment.

The role leads people management, including hiring, goal setting, staff development, performance and compensation decisions, teamwork, and disciplinary actions. It oversees compliance support for transformation initiatives such as digital trading, algorithmic and electronic platforms, and market structure changes, and leads compliance integration for mergers, acquisitions, divestitures, and business restructurings affecting Global Markets. The position advises business heads on regulatory risks, product launches, market entry, and strategic initiatives; improves surveillance, monitoring, and data analytics; and is accountable for the TDS U.S. compliance program and regulatory obligations.

The Head of Compliance engages directly with U.S. regulators on examinations, inquiries, remediation, and enforcement matters, and reports regularly to the Board and Board Committee on compliance risks, issues, and program effectiveness. The position requires integrity, strong communication and presentation skills, sound judgment, and the ability to work across a global, matrixed organization.

TD Securities provides capital markets products and services to corporate, government, and institutional clients. Its services include underwriting and distributing new issues, advice and insight, access to global markets, and integrated transaction banking solutions. TD Securities has more than 6,500 professionals in 40 cities worldwide.

Requirements

• Bachelor's degree required.
• At least 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, including SEC, CFTC, FINRA, ESMA, FCA, and 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 manage multiple projects and priorities in a fast-paced environment.
• Ability to work effectively in a global environment, leveraging and sharing best practices and insights with global colleagues.
• Expertise in compliance advisory, policy, change management, project management, and operations, with familiarity with regulations, compliance strategies, and risk management.
• Strategic thinking and excellent judgment, including the ability to achieve an appropriate risk/reward balance.
• Ability to deliver on objectives, focus on priorities, work across silos, and build effective working relationships.
• Transparent communication and ability to operate in an evolving, sometimes ambiguous, matrixed environment.
• High personal and professional integrity and standards.
• Strong verbal and written communication, public speaking and presentation, listening, and negotiation skills.

Nice To Haves

• Juris Doctor (JD) or equivalent advanced degree.

Responsibilities

• Execute and oversee the compliance framework for the TD Securities Global Markets business.
• Serve as the designated TDS U.S. Chief Compliance Officer and remain accountable for the U.S. compliance program and regulatory obligations.
• Provide independent oversight and credible challenge across sales and trading, capital markets, derivatives, structured products, electronic trading, and markets infrastructure activities.
• Lead people management, including hiring, setting goals, developing staff, managing performance and compensation decisions, promoting teamwork, and handling disciplinary actions as required.
• Oversee compliance support for transformation initiatives, including digital trading, algorithmic and electronic platforms, and market structure changes.
• Lead compliance integration for mergers, acquisitions, divestitures, and business restructurings affecting Global Markets.
• Ensure compliance frameworks address market conduct, conflicts of interest, information barriers, suitability, best execution, trade surveillance, and sales practices.
• Advise TDS Global Markets business heads on regulatory risks, product launches, new market entry, and strategic initiatives.
• Drive continuous improvement of surveillance, monitoring, and data analytics capabilities.
• Engage directly with U.S. regulators on examinations, inquiries, remediation, and enforcement matters.
• Provide regular reporting to the Board and Board Committee on compliance risks, issues, and program effectiveness.
• Represent TD with integrity and professionalism and communicate effectively with internal and external stakeholders.

Benefits

• 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
• Reward and recognition
• Variable compensation and incentive awards, including potential cash and/or equity incentive awards
• Training and onboarding
• Online learning platform and mentoring programs

What This Job Offers

• Job Type: Full-time
• Career Level: Executive