tdNew York, NY
Director, Equities Compliance Advisory – High-Touch Trading
Director, Equities Compliance Advisory – High-Touch Trading
Director, Equities Compliance Advisory – High-Touch Trading
tdNew York, NY
yesterday
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Intermediation
Apply for this role (opens in a new tab)TD Securities (US) Compliance is seeking a Director to join the Equities Compliance Advisory team in New York. The role requires extensive compliance advisory experience for equities sales and trading, including high-touch and electronic trading platforms, with strong knowledge of regulatory obligations and industry best practices.
The successful candidate will lead risk-focused guidance, uplift controls, and collaborate with senior management to balance regulatory requirements with business
Also on the board Same function, level within a rung
Level
Manager
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
yesterday