Head of Equities Compliance Advisory

TD Securities (US) in New York seeks a Director to lead the Equities Compliance Advisory team, providing real-time, risk-based regulatory guidance to the equities sales and trading business. The role emphasizes advanced knowledge of market structure, electronic trading, and regulatory expectations, with oversight of policy, controls, and governance.

The candidate will partner with senior management to uplift controls, deliver practical solutions, and ensure alignment with FED, FINRA, SEC, OCC,