Director Equity Research Advisory Compliance

Director Compliance Tds

The Director Compliance Tds oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

The successful candidate should have compliance advisory experience in Equity Research business lines and will focus on providing real-time compliance advice to the TD Securities (USA) LLC Research group, Strategist teams and others producing Market Commentary within the Firm. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice.

Key Responsibilities

• Provide day to day advice across all Business Units producing Research and Market Commentary across TDS (USA) LLC
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing compliance assessment process.
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
• Engage with the Control Room on their management of chaperoning and other items on behalf of the Business.
• Draft, update, and implement relevant policies and procedures.
• Provide regulatory/compliance training.
• Assist the business on implementing and documenting various supervisory/control mechanisms.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators
• Analyze new regulations and conduct business-based analysis and execute required implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance/business objectives

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
• Position deals with senior/executive management.
• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for functional area (e.g. 12 months or greater).
• Manages and prioritizes multiple projects at a given time.

Education & Experience

• Bachelors degree or progressive work experience
• 7-10 years related experience

Preferred Qualifications

• Approximately 8-10 years of securities advisory experience. Knowledge of Equity Research Business line. Knowledge of Debt Research a plus.
• Knowledge of derivatives and equity derivative sales and trading markets a plus
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Strong knowledge of Blue Matrix and
• 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;
• JD a plus

Physical Requirements

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Performing multiple tasks: Continuous
• Operating standard office equipment: Continuous
• Responding quickly to sounds: Occasional
• Sitting: Continuous
• Standing: Occasional
• Walking: Occasional
• Moving safely in confined spaces: Occasional
• Lifting/Carrying (under 25 lbs.): Occasional
• Lifting/Carrying (over 25 lbs.): Never
• Squatting: Occasional
• Bending: Occasional
• Kneeling: Never
• Crawling: Never
• Climbing: Never
• Reaching overhead: Never
• Reaching forward: Occasional
• Pushing: Never
• Pulling: Never
• Twisting: Never
• Concentrating for long periods of time: Continuous
• Applying common sense to deal with problems involving standardized situations: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.