Teams at TD Bank

Lead engineering teams to design, deliver, and operate cloud-native, scalable compliance, surveillance, and supervision platforms. Drive architecture, API/event-driven microservices, big-data and AI-enabled analytics, vendor integrations, regulatory controls, and Agile delivery while partnering with Compliance, Risk, Data, and Business stakeholders.

The Senior Manager Advisory Compliance will oversee compliance activities in equities, advising on regulations, managing relationships, and training staff on compliance policies.

Review and approve public research content for regulatory and policy compliance (FINRA, CIRO), ensure accuracy of financials and disclosures, edit for clarity and balance, schedule/distribute reports via BlueMatrix, liaise with analysts to resolve regulatory, factual, and clarity issues, and ensure timely publication.