Job Description:
To lead a team of Compliance professionals who encompass the US Broker-Dealer as well as the Firm's Swap Dealer.
To operate as the deputy to the US CCO for TD Securities (USA) LLC, as well as for the CCO of the Swap Dealer (the Toronto Dominion Bank).
Providing regulatory compliance advice to the firm's markets and derivatives businesses and support the systems and processes that TD Securities depends on to meet its regulatory needs
Overseeing the Firm's supervisory system and regulatory change management program and maintaining the compliance program for US based businesses.
Monitoring regulatory developments; providing thought leadership and compliance support to all new trading and sales business initiatives in the region
Serving as the contact for related trading and sales compliance issues; testing the operations of the systems and transactions against the underlying rule requirements on a periodic basis
Providing regulatory compliance advice to the market business and manage the compliance programs that support the regulatory requirements of TD Securities (US) Job Requirements Accountability for reporting to business management regarding status of new products and processes from a compliance perspective
Responsible for change management initiatives and growth of US products and businesses lines
Manage regulatory relationships, examinations and inquiries Qualifications * 10+ years' experience in Compliance
* Law degree preferred Inclusiveness
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