TD Securities
A leading financial services firm is seeking a Vice President for US Markets Equities Compliance Advisory in New York. The ideal candidate will leverage 7+ years of compliance advisory experience, focusing on providing real-time compliance guidance aligned with regulatory standards for equity trading. Responsibilities include advising on policies, managing compliance assessments, and interacting with regulators. A JD is a plus, and a strong knowledge of FINRA and SEC regulations is crucial. Competitive compensation between $150,000 and $180,000 annually is offered.
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