Head of Compliance, Global Markets, TD Securities (US)

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

This role is responsible for the execution and oversight of the compliance framework for TDS Global Markets business while simultaneously serving as the designated U.S. Chief Compliance Officer. The role provides independent oversight and credible challenge across sales & trading, capital markets, derivatives, structured products, electronic trading, and markets infrastructure activities.  This role requires deep regulatory expertise, strong executive presence, and the ability to lead a large global compliance organization in a complex fast-moving environment.

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• Oversees compliance support for complex transformation initiatives, including digital trading, algorithmic/electronic platforms, and market structure changes
• Leads compliance integration for mergers, acquisitions, divestitures, and business restructurings impacting Global Markets
• Ensures compliance frameworks effectively address market conduct, conflicts of interest, information barriers, suitability, best execution, trade surveillance and sales practices
• Serves as senior advisor to TDS Global Markets business heads on regulatory risks, product launches, new market entry and strategic initiatives
• Drives continuous improvement of surveillance, monitoring, and data analytics capabilities
• Acts as the designated TDS U.S. Chief Compliance Officer, accountable for TDS U.S. compliance program and regulatory obligations
• Maintains direct engagement with the U.S. regulators including exams, inquiries, remediation and enforcement matters
• Provides regular reporting to the Board and Board Committee on compliance risks, issues and program effectiveness
• Highest personal and professional integrity and standards to advance TD's vision and protect the brand
• Strong verbal and written communication skills, including public speaking/presentation skills and well developed listening and negotiation skills

• Bachelor's degree required
• Juris Doctor (JD) or equivalent advanced degree preferred
• 20+ years of experience in compliance, legal, or regulatory roles within global financial markets.
• Deep, hands-on knowledge of U.S. and international markets regulation (SEC, CFTC, FINRA, ESMA, FCA, APAC regulators).
• Demonstrated experience serving in, or operating at, a Chief Compliance Officer or equivalent executive capacity
• Ability to project confidence and professionalism in dealings with senior business personnel
• Strong knowledge of technology infrastructure and global booking models
• Ability to work on multiple projects in a fast-paced environment
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally
• Familiarity with regulations and compliance strategies and risk management; possesses and demonstrates expertise in advisory, policy, change management, project management and operations
• Strategic thinker; has excellent judgment, achieves the right risk/reward balance
• Demonstrates ability delivering on objectives, focuses on what matters and can work across silos to build effective working relationships
• Transparent communicator and respected TD representative, both internally and externally
• Ability to work in a fast-paced environment and manage multiple priorities
• Ability to operate in an evolving, sometimes ambiguous, matrixed environment

TD Bank is an equal opportunity employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.