Head Of Compliance, Employee Trading, Td Securities (us)
TD Securities
New York, New York, United States of America
$200,000 - $280,000 usd; not specified; not specif...
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
$200,000 - $280,000 USD; Not specified; 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
Remarkably human and refreshingly simple
Foster strong relationships
Collaborate with all Compliance stakeholders
Key Requirements
15+ years of industry experience
Prior experience managing a Global Employee Trading Compliance program
Familiarity with FINRA, CIRO, and applicable global securities laws