Manager / Senior Manager, Advisory Compliance (Equities)

Manage compliance risk across TD globally.,Act as a product specialist for equities businesses.,Possess expert knowledge of the Equities business (cash equities, equity derivatives, prime brokerage) and APAC region rules and regulations.,Understand business lines, booking models, products, transaction types, and provide advice to trading and sales desks.,Build and maintain relationships with business, support, and control functions while maintaining Compliance independence.,Provide guidance to junior team members.,Assess new business proposals against pertinent laws, regulatory requirements, and exchange rules.,Advise on interpretation and implementation of new regulatory developments.,Provide real-time advice on proposed transactions.,Assist internal stakeholders (Trade Surveillance, Risk, Internal Audit, Operational Risk, Operations) with product/market expertise.,Create and deliver training on topics like market abuse and trading venue rules.,Draft and implement Advisory Compliance policies and procedures.,Review escalations of potential market abuse and prepare for potential STOR submissions.,Assist with relevant regulatory requests.

Minimum of 15 years of demonstrated relevant experience in the industry.,Knowledgeable of regulations and industry best practices.,Solid understanding of Equities markets, products, and business practices with at least 5 years of product experience.,In-depth knowledge of one or more areas of Fixed Income is preferred.,Familiar with relevant industry standards and statements of good practice, particularly market rules and relevant codes and guidance.