Td Securities USA - New York, NY
posted 4 days ago
The Director of Fixed Income & Municipal Securities Compliance Advisory will play a pivotal role in ensuring compliance within the Fixed Income and Municipal Securities business lines at TD. This position requires a seasoned professional with extensive compliance advisory experience, particularly in the realms of Fixed Income and Municipal Securities, as well as derivative asset classes. The primary focus will be on providing real-time compliance advice tailored to the needs of the TD Wholesale Entities Fixed Income and Municipal Securities business units. This role is critical in resolving compliance issues while considering regulatory requirements, firm risk, and industry best practices. A Juris Doctor (JD) degree is preferred but not mandatory. In this capacity, the Director will manage a team of compliance personnel dedicated to supporting the Fixed Income and Municipal Securities business lines. Responsibilities will include providing day-to-day compliance advice across all relevant business areas, ensuring strategic consistency across desks, and advising on firm policies, regulatory requirements, and industry best practices. The Director will also support the ongoing development of the Firm's Regulatory Compliance Management Framework, which includes rules mapping, control mapping, and compliance assessment processes. The role involves identifying regulatory trends and developments that may impact business operations and advising staff accordingly. The Director will draft, update, and implement relevant policies and procedures, provide regulatory and compliance training, and assist the business in implementing various supervisory and control mechanisms. Additionally, the Director will participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections. Interaction with federal and state regulators will also be a key aspect of this role, along with analyzing new regulations and executing necessary implementations. The Director will be responsible for ongoing reporting to senior management and developing proactive strategies that align compliance with business objectives.