Hiring: Director, Equities Compliance Advisory - TD Securities (US) Company: TD Location: New York, NY Job Posted Time: 2026-09-12 13:44:49 Target Skills & Keywords : Capital Markets, Equities About the job Experience: •7-10 years related experience at minimum Required Skills: •Our TD Securities (US) Compliance department is looking to hire a Director to join our Equities Compliance Advisory team in our New York office (US headquarters). •Advise business areas on firm policies and procedures, regulatory requirements and industry best practices •Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities •Maintain and Oversee the Firm’s Equity & Options Trading activities •Assist the business on implementing and documenting various supervisory/control mechanisms •Assist the business on drafting, updating, and implement relevant policies and procedures •Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections •Interact with federal and state regulators Qualifications: •Bachelor's degree required; JD degree a plus •8+ years of securities advisory experience. Knowledge of trading algorithms, alternative trading systems and market structure preferred. •Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Business •Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, OCC, Exchange Level SROs including NYSE, NASDAQ & CBOE. •Excellent oral and written communication skills •Demonstrated capacity to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment •Demonstrated capacity to project confidence and professionalism in dealings with senior business personnel •Strong knowledge of technology infrastructure and global booking models •Demonstrated capacity to work on multiple projects in a fast paced environment •Demonstrated capacity to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally Compensation: •$200,000 - $225,000 / year •Competitive benefits and rewards package •Maintain and Oversee the Firm’s Equity & Options Trading activities Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!