QUALIFICATIONS

• 20 + years of technology leadership experience within Compliance in Financial Services.
• Deep compliance and regulatory domain expertise
• Proven track record delivering enterprise-level technology solutions in fast-paced, regulated environments.
• Exceptional executive-level communication, leadership, and strategic visioning skills.
• Experience working with regulatory bodies and ensuring compliance with financial industry standards.
• Bachelor’s or Master’s degree in Computer Science, Engineering, Finance, or a related field.

EDUCATION & EXPERIENCE:

• College degree, or specialized training / equivalent work experience
• 7+ years related experience

PHYSICAL REQUIREMENTS:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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.

ROLE SUMMARY

The Managing Director (MD), Global Head of Compliance Technology, will define and execute the technology strategy for Compliance, Surveillance & Supervision, with a focus on innovation, operational efficiencies , automation, and data quality. The MD will lead technology initiatives that align with regulatory requirements, business priorities, and emerging industry trends, while directly managing a global team to build capabilities and talent for long-term success.

KEY RESPONSIBILITIES

• Strategic Leadership – Develop and execute the technology strategy and roadmap to drive transformation, improve operational efficienc ies , and deliver an integrated compliance platform across all workstreams.
• Technology Innovation – Identify, implement, and scale advanced technologies (e.g., AI, machine learning) to enable data-driven decision-making, automation, and reduced vendor dependency.
• Application Development & Integration – Oversee design, development, and maintenance of technology platforms
• Data & Analytics – Lead initiatives to enhance data management, analytics, and AI-driven insights for compliance, surveillance, and supervision.
• Cybersecurity & Compliance – Ensure adherence to industry regulations, cybersecurity best practices, and internal risk policies; proactively identify and mitigate risks.
• Collaboration & Stakeholder Engagement – Partner with senior leaders, technology teams, and vendors to deliver scalable, innovative, and business-aligned solutions.
• Operational Excellence – Optimize IT infrastructure and cloud strategies to improve efficiency, control costs, and enable rapid, scalable growth.
• Talent & Team Leadership – Build and lead a high-performing global compliance technology team, fostering innovation, collaboration, and continuous improvement.