Director, Debt Capital Markets Compliance

Join one of the fastest growing broker-dealer compliance programs in the US for the 5th largest US Bank, playing a pivotal role as a director of debt capital markets compliance.

Client Details

Client is the broker-dealer arm of the 5th largest US Bank.

Description

• Oversees daily operations of the Investment Banking Compliance team, aligning actions with the Bank's risk principles and established risk tolerance thresholds.

• Promotes understanding and adoption of the Bank's risk principles and risk tolerance within the Investment Banking Compliance group.

• Advocates for a client-centric approach to strengthen customer relationships and integrate wider Bank resources, expertise, and systems.

• Creates, implements, and sustains top-tier global compliance programs, policies, and standards for Investment Banking Compliance at TD Securities (USA) LLC.

• Ensures that comprehensive policies and supervisory procedures are in place for activities including investment banking, securities underwriting, and private placements.

• Provides forward-looking leadership in building and expanding a worldwide Investment Banking Compliance framework and Control Room spanning Canada, the US, Europe, and Asia Pacific.

• Offers expert, real-time regulatory advice on functional, business, and product-specific compliance matters to mitigate risk effectively.

• Delivers ongoing strategic counsel to front office teams and control functions concerning public and private equity and debt offerings.

• Monitors regulatory changes, enforcement actions, and new legislation across all jurisdictions, assessing the implications for senior business and product lines, including cross-border considerations.

• Drives high-priority projects and initiatives with a focus on delivering practical solutions, including managing the global rollout of new regulatory requirements.

• Engages actively in industry and trade association groups or forums to stay abreast of sector developments.

• Leads investigations into suspected compliance breaches and ensures timely escalation and resolution involving appropriate stakeholders.

• Supports the creation and rollout of training programs targeted at front office and control function personnel.

Profile

• Brings 7-10+ years of relevant compliance advisory experience, with preference given to those having 10+ years or similar roles within regulatory bodies or law firms.

• Experienced in delivering legal, regulatory, or compliance guidance specifically tailored to Markets sales and trading operations.

• Well-versed in Corporate Investment Banking and Capital Markets, ensuring daily oversight of the Investment Banking Compliance team aligns with the Bank's risk culture and appetite.

• Effectively communicates and reinforces the Bank's risk philosophy and limits across the compliance team, fostering a client-first mindset that leverages the Bank's wider relationships, resources, and systems.

• Possesses in-depth expertise in securities laws and regulations-FED, FINRA, SEC, CFTC, NYSE, OCC-covering key areas such as Securities Act, Regulation M, SPAC regulations, and Trade Reporting, with strong ability to evaluate firm-wide impact.

• Demonstrates exceptional verbal and written communication skills, capable of clearly articulating complex compliance concepts.

• Adept at making and defending challenging regulatory decisions under pressure in a dynamic, fast-moving environment.

• Projects confidence and professionalism when interacting with senior executives and business leaders.

• Strong understanding of technology infrastructure supporting global booking models.

• Skilled at managing multiple concurrent projects in a high-velocity setting while maintaining quality and adherence to deadlines.

• Proven ability to operate efficiently across global teams, sharing best practices and insights internationally.

• A Juris Doctor (JD) degree is considered an advantage.

• Holds responsibility for significant compliance functions or broad business units, with influence and impact spanning enterprise-wide operations.

• Regularly engages with senior and executive management, serving as a primary liaison for business leaders, regulators, and auditors on a range of complex and non-routine matters.

• Focuses on strategic planning with a horizon of 12 months or more, ensuring the function's preparedness and alignment with long-term goals.

• Effectively prioritizes and leads multiple projects simultaneously, balancing competing demands with agility and strategic foresight.

Job Offer

Chance to join one of the fastest growing broker-dealers in the US as a key figure in the advisory of their debt capital markets compliance program.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.