Director, Fixed Income & Municipal Securities Compliance Advisory, TDS

Company Overview
Our Values
At TD, we're guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and behaviors. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career, and be part of our caring and inclusive culture.
Making Your Well-being a Priority
A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars - physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they're more likely to do their best.
Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they'll always have access to the TD community to experience our culture of care.
Who We Are
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.
Department Overview
Candidate must have Compliance Advisory experience in Fixed Income and Municipal Securities business lines, as well as derivative asset classes, and will focus on providing real-time compliance advice to the TD Wholesale Entities Fixed Income and Municipal Securities business units. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. Having a JD is a plus. In addition, this individual will be responsible for management of individuals covering these Business lines from a Compliance perspective today. Responsibilities include:

• Manage Compliance personnel supporting the Fixed Income and Municipal Securities Business lines
• Provide day to day advice across all FI and Municipal Securities Businesses ensuring strategic consistency across desks
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing compliance assessment process.
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
• Draft, update, and implement relevant policies and procedures.
• Provide regulatory/compliance training.
• Assist the business on implementing and documenting various supervisory/control mechanisms.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators
• Analyze new regulations and conduct business-based analysis and execute requite implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance/business objectives

Job Requirements
Education & Experience:

• Bachelors degree or progressive work experience
• 7-10 years related experience

Additional Requirements:

• Must be eligible for employment under regulatory standards applicable to the position.

Job Details
The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.
Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
• Position deals with senior/executive management.
• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for functional area (e.g. 12 months or greater).
• Manages and prioritizes multiple projects at a given time.

Inclusiveness
Our Commitment to Diversity, Equity, and Inclusion
At TD, we're committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We're dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Accommodation
If you are a candidate with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
How We're Helping Make an Impact in Communities
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That's why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of $1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It's our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.
We look forward to hearing from you!
Qualifications
Preferred Qualifications:

• 10+ years of securities advisory experience. Knowledge of Primary Dealer activities and requirements
• Significant experience in providing legal, regulatory or compliance advice to Fixed income sales and trading including Agencies, MBS, ABS, Credit, Munis and Swap products
• Knowledge of derivatives and equity derivative sales and trading markets a plus
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC, CFTC, NYSE, MSRB and OCC.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment.
• Ability to project confidence and professionalism in dealings with senior business personnel.
• Strong knowledge of technology infrastructure and global booking models
• Ability to work on multiple projects in a fast paced environment
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights with colleagues globally;
• JD a plus