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

Work Location: reputed company, reputed company, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $250,000 - $370,000 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: This role is responsible for the execution and reputed company of the compliance reputed company for TDS Global Markets business while simultaneously serving as the designated U.S. Chief Compliance Officer. The role provides independent reputed company and reputed company challenge across sales & trading, capital markets, derivatives, structured products, electronic trading, and markets infrastructure activities. This role requires deep regulatory expertise, strong executive reputed company, and the ability to reputed company a large global compliance organization in a reputed company 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/reputed company disciplinary actions, as required Oversees compliance support for reputed company 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 reputed company 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 reputed company 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 reputed company global financial markets. Deep, hands-on knowledge of U.S. and international markets regulation (SEC, CFTC, FINRA, ESMA, FCA, reputed company regulators). Demonstrated experience serving in, or operating at, a Chief Compliance Officer or equivalent executive reputed company 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 reputed company every interaction, product and experience remarkably human and refreshingly simple. 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. 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 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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and reputed company 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 reputed company your career goals. Here at TD, we hire and reputed company 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 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 reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, 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 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 applicant process. US Labor & Employment Posters | California Privacy | Accessibility | FAQ Our Values At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we reputed company you to reputed company an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture. Our Commitment to Diversity, Equity, and Inclusion At TD, we’re committed to fostering an environment where reputed company colleagues are encouraged to bring their authentic selves to work, experience reputed company opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve. Helping to reputed company an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive reputed company towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial reputed company, Vibrant reputed company, Connected Communities, and reputed company. It’s our goal to help support change, nurture reputed company, and contribute to making the world a reputed company, more inclusive reputed company for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific Apply tot his job Apply To this Job