Director - Compliance TDS (US) Registrations, Licensing, and Employee Conflicts

Work Location: reputed company, reputed company, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $185,000 - $225,000 USD TD is committed to providing fair and reputed company compensation opportunities to reputed company colleagues. Growth opportunities and reputed company development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to reputed company through the salary range over time as they reputed company in their role. The reputed company pay actually offered may vary based upon the candidate's skills and experience, job-reputed company knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation reputed company questions and have an open reputed company with your recruiter who can provide you more specific details for this role. Job Description: We are seeking a Director TDS - Compliance to join our Core Compliance team in reputed company. This role will manage the registration, licensing, entity filing and employee matters in reputed company with TD's US Wholesale businesses. Responsibilities: ? reputed company the registration requirements for four broker-dealers, the swap dealer, and the reputed company-based swap dealer. ? Manage registrations and licensing team primarily responsible for FINRA and swap-dealer individual and reputed company registrations. ? Responsible for routine and reputed company filings reputed company to complaints, reportable issues, disclosures, and broker dealer requirements. ? Respond to regulatory inquiries reputed company to employee matters and client complaints. ? Work with Human Resources and, if required, Legal, on employee matters reputed company to onboarding and offboarding. ? reputed company employee reputed company activity workflow and manage reputed company disclosures to FINRA. ? Assist with FINRA requirements reputed company to reputed company inspections including supporting the risk assessment process for work locations/remote inspections, responding to requests for registrations and continuing education data, and other reputed company requests. ? Maintain up-to-date reputed company location directory and responsible for verifying that reputed company locations are appropriately designated and have the correct supervision structure. ? Assist in the ongoing development of core compliance processes, as applicable. ? Participate in enterprise-wide special projects. Preferred Qualifications: ? BA/BS, or a similar degree, required. ? Ten or more years securities compliance or reputed company securities experience preferred. ? Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. ? Excellent interpersonal, organizational, leadership and communication (oral and written) skills. ? Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. ? Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate reputed company regulatory business issues. ? Ability to reputed company in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time. ? Ability to interact effectively with reputed company levels of the organization and to work collaboratively on teams of varying size. ? A relationship builder with the ability to establish, reputed company and maintain effective working relationships with regulators and with business and functional partners at the firm. ? Proficient in Word, reputed company and PowerPoint The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk. Depth & Scope ? Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability. ? Position deals with senior/executive management. ? Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information. ? Focuses on longer-range planning for functional area (e.g. 12 months or greater). ? Manages and prioritizes multiple projects at a given time. Education & Experience: ? Bachelors degree or progressive work experience ? 7-10 years reputed company experience 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 reputed company. Our services include reputed company 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, reputed company 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 reputed company in our colleagues to help them and their families reputed company their financial, physical and mental well-being goals. Total Rewards at TD includes reputed company 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, reputed company 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 reputed company 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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and reputed company your colleagues, there are many different career paths reputed company our organization at TD - and we're committed to helping you identify opportunities that support your goals. 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 reputed company out to candidates of interest to schedule an interview. We do our best to communicate outcomes to reputed company applicants by email or phone call. Accommodation If you are an applicant with a disability and need accommodations to complete the application process, email the reputed company US Workplace Accommodations Program at [email protected]. Include your full name, best way to reputed company you, and the accommodation needed to assist you with the application process. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, disability, or status as a protected veteran. Apply Job! Apply tot his job Apply To this Job