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Lead Compliance Monitoring & Testing for TD Securities US: design and execute annual testing plans, determine scopes and methodologies, prepare workpapers and reports, manage remediation, develop metrics and rules inventory, support Core Compliance projects, and build relationships with stakeholders and regulators while overseeing a team of specialists.

Hands-on Lead Developer responsible for designing and building reusable frameworks and microservices for Compliance, Surveillance and Supervision. Architect and implement Java/Spring Boot REST services, event-based, batch and streaming solutions, integrations, CI/CD pipelines and cloud deployments. Provide technical leadership, review designs, drive roadmaps, liaise with stakeholders, and apply trade surveillance, market data and NLP/LLM expertise to detect anomalies and support large-scale initiatives.

Lead enterprise and non-financial risk governance for TD Securities U.S., delivering executive and Board reporting, risk appetite oversight, ERM program implementation, regulatory and audit coordination, and stakeholder engagement to identify emerging risks and improve risk management effectiveness.

Lead and manage a compliance oversight team covering FDIC deposit rules, KYC operations, auto finance servicing, credit reporting, and regulatory statement distribution. Provide regulatory guidance, design and monitor controls, manage remediation and examinations, drive process improvements, and present risk and program performance to senior management while developing staff and partnering with business and legal stakeholders.

Lead and enhance the fraud compliance program, manage a team of compliance professionals, advise senior leaders, oversee monitoring/testing and remediation, support regulatory exams, and partner with Fraud Operations and Legal to mitigate fraud-related compliance risks and ensure regulatory adherence.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

Serve as primary point-person for US options trade reconciliation, allocation, and clearance. Ensure adherence to firm governance and regulatory standards, monitor controls and exceptions, manage stakeholder communications, partner with trading/operations/technology, and lead process-improvement projects and operational analysis.

Lead and execute compliance monitoring and testing across US and select global businesses. Design review scopes, perform testing, document exceptions and remediation, report metrics, support issues management and rules inventory, and partner with business, auditors and regulators to strengthen compliance controls and training.

The Audit Manager I is responsible for managing audits, conducting risk assessments, and overseeing audit initiatives. They ensure compliance, provide expertise in audit processes, and engage with senior management while driving innovation and maintaining operational efficiency.

Support equity research coverage for Internet and new media companies by compiling and analyzing data, building and maintaining financial and forecasting models, producing research reports and presentations, liaising with market participants, and assisting senior analysts on valuation and client-facing deliverables.