Head Of Compliance, Employee Trading, Td Securities (us)

TD Bank

New York, New York, United States
Base: $200,000 - $280,000 usd; bonus/equity: not s...
Global employee trading compliance
Employee trading and insider dealing policies
Information barrier policy
This role is responsible for leading, managing, and continuously improving the Global Employee Trading Compliance program within TD and TDS

Job Summary

  • This role is responsible for leading, managing, and continuously improving the Global Employee Trading Compliance program within TD and TDS.
  • TD is committed to providing fair and equitable compensation opportunities to all colleagues, with growth opportunities and skill development as defining features of the colleague experience.
  • TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients, striving to make every interaction, product and experience remarkably human and refreshingly simple.

Matching Summary

This role is responsible for leading, managing, and continuously improving the Global Employee Trading Compliance program within TD and TDS.

Salary

Base: $200,000 - $280,000 USD; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Global Employee Trading Compliance
  • Employee trading and insider dealing policies
  • Information barrier policy
  • Personal trade monitoring and surveillance
  • Regulatory developments and trends monitoring

Nice-to-have

  • Foster strong relationships with front office
  • Collaborate with all Compliance stakeholders
  • Remarkably human and refreshingly simple

Key Requirements

  • 15+ years of industry experience
  • Prior experience managing Global Employee Trading Compliance
  • Familiarity with FINRA, CIRO, and global securities laws
  • University degree required

Work Rights

Not specified

Tailored Resume

Cover Letter