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

TD

New York, NY, United States
Base: $200,000 - $280,000 usd; bonus/equity: not s...
Global employee trading compliance program
Employee trading and insider dealing policies
Compliance advisory and risk assessment
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 offers a Total Rewards package including base salary, variable compensation, health benefits, savings and retirement programs, paid time off, and career development opportunities.
  • TD is committed to providing a respectful workplace where diverse perspectives are valued and colleagues have fair opportunities to grow and unlock their full potential.

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: Health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts

Skills & Requirements

Must-have

  • Global Employee Trading Compliance program
  • Employee trading and insider dealing policies
  • Compliance advisory and risk assessment
  • Management of personal trade monitoring team
  • Regulatory compliance with FINRA and CIRO
  • Project management with tight deadlines

Nice-to-have

  • Strong relationships with front office staff
  • Ability to work independently and in teams
  • Experience with global securities laws
  • High personal integrity and confidentiality
  • Vendor relationship management
  • Training creation and delivery

Key Requirements

  • University degree required
  • 15+ years of industry experience
  • Prior management of Global Employee Trading Compliance program
  • Familiarity with FINRA, CIRO, and global securities laws
  • Knowledge of investment banking activities
  • Strong project management skills

Work Rights

Not specified

Tailored Resume

Cover Letter