TD Securities (US) in New York is seeking a Director of Equity Compliance Advisory to join our Equities Compliance Advisory team. You will provide real-time regulatory guidance and oversight for equities sales and trading, including cash and high-touch trading, principal trading, and market-making activities.
You will help strengthen the program and ensure alignment with regulatory expectations. The role requires extensive advisory experience, strong knowledge of securities laws, and the ability
#J-18808-LjbffrDirector, Equities Compliance Advisory in new york at Unknown Company
This position is listed as full time and onsite.