Compliance Director, TD Private Client Wealth - Remote

Overview

The Compliance Director at TD Private Client Wealth is responsible for leading a team dedicated to compliance within the broker-dealer and registered investment adviser sectors, ensuring adherence to regulatory standards and internal policies.

In Short

• Provide leadership in hiring and managing compliance officers.
• Develop and oversee compliance programs and policies.
• Assist in regulatory examinations and internal audits.
• Advise on compliance trends and regulatory developments.
• Conduct compliance testing and monitoring functions.
• Lead risk assessment initiatives for compliance.
• Maintain communication with management on compliance issues.
• Ensure compliance with SEC and FINRA regulations.
• Mentor and develop junior talent within the compliance team.
• Coordinate annual compliance reviews.

Requirements

• JD preferred with FINRA Licenses 7 and 24 required.
• 10+ years of experience in compliance.
• Leadership experience in a dual registered BD/RIA.
• Strong knowledge of SEC and FINRA regulations.
• Exceptional project management and analytical skills.
• Excellent communication skills.
• Ability to manage employee performance and development.
• Experience with compliance testing and monitoring.
• Strong understanding of regulatory frameworks.
• Ability to coordinate with multiple business lines.

Benefits

• Competitive salary and incentive awards.
• Health and well-being benefits.
• Retirement programs and paid time off.
• Career development opportunities.
• Support for financial, physical, and mental well-being.
• Access to training and mentoring programs.
• Inclusive and diverse work environment.
• Opportunities for professional growth.
• Employee banking benefits and discounts.
• Regular performance and development conversations.