TD Bank
Director, Equities Compliance Advisory - TD Securities (US)
$200K–$225K
New York, New York · On-site · Director · Full-time · Posted Jul 16, 2026
- Experience
- 8+ years of securities advisory experience; the general description also states 7–10 years related experience at minimum.
- Education
- Bachelor's degree required; the general description also allows progressive work experience.
About the job
Leads equities compliance advisory for TD Securities’ US sales and trading businesses, strengthening controls and governance and providing regulatory guidance.
What you'll do
- Advise equities business areas on policies, regulations, industry practices, and regulatory developments.
- Oversee equity and options trading compliance, including controls, testing, risk assessments, and reporting.
- Support training, investigations, regulatory inquiries, audits, and implementation of new regulations.
What they ask for
- Bachelor's degree required; JD degree is a plus.
- 8+ years of securities advisory experience.
- Significant experience providing legal, regulatory, or compliance advice to Equity Sales & Trading.
- Strong knowledge of applicable securities laws, rules, and regulations, including those of FED, FINRA, SEC, OCC, NYSE, NASDAQ, and CBOE.
Nice to have
- Knowledge of trading algorithms, alternative trading systems, and market structure.
- JD degree.
Pay
$200,000 - $225,000 USD (base salary)
Model-written summary · the original posting is authoritative