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Supervises registered and associated persons across supported wealth markets, partnering with market leaders on compliance, controls, operations, audits, training, account reviews, trade corrections, outside business activities, and customer complaints. The role leads supervisory initiatives, resolves escalated inquiries, supports hiring, and ensures adherence to FINRA, securities laws, and financial-services regulatory requirements. Travel may comprise up to 50% of the role.

Leads end-to-end technical solution design for complex enterprise projects, owns solution architecture and System Design Specifications, and may perform advanced coding. Advises project teams and stakeholders, designs integrations across internal, external, and third-party platforms, develops architecture documentation, evaluates risks and trade-offs, and provides technical guidance. The role focuses on Java-based distributed applications, APIs, microservices, cloud and container platforms, security, AI-enabled solutions, and regulated financial-services environments.

Leads TD Securities Compliance’s transformation portfolio, overseeing regulatory, remediation, control, and technology initiatives. Responsibilities include integrated portfolio management, governance, milestone and dependency tracking, risk and issue escalation, executive reporting, technology budget planning, business-case development, and cross-functional stakeholder coordination. The role strengthens execution standards, accountability, transparency, and alignment with regulatory and business priorities across a complex financial-services environment.

Leads and independently performs moderately complex technology audits from planning through completion. Tests IT controls, documents findings, evaluates control effectiveness, manages stakeholder communications, prepares audit reports, follows up on remediation, and provides technology audit expertise. The role may coach colleagues, support audit initiatives, and conduct reporting and analysis using tools such as SQL, Power BI, or Tableau.

Analyzes corporate and leveraged finance transactions, including financial statements, cash flows, debt ratios, loan structures, borrower creditworthiness, collateral, and regulatory compliance. Prepares credit analyses, approval memorandums, diligence reviews, transaction recommendations, and client presentations. Supports loan origination, negotiations, documentation, monitoring, and risk assessment while working with clients and senior lending professionals.

Design, implement, and integrate AML/trade surveillance tools and data pipelines. Integrate upstream bank systems with vendor platforms, build scalable batch and near-real-time analytics using big-data technologies, and support regulatory and technology risk obligations.

Supports equity research on power and energy equipment and services by analyzing companies, industries, markets, and economic developments. Responsibilities include building valuation and forecasting models, maintaining financial databases, preparing research reports and client presentations, monitoring market and regulatory developments, and maintaining relationships with market participants and institutional clients.

Lead equity capital markets transactions including IPOs, follow-ons, block trades, private placements, and equity-linked offerings. Advise corporate and sponsor clients on valuation, market conditions, transaction structure, investor positioning, and execution strategy. Coordinate legal, audit, syndicate, sales, trading, research, and investor stakeholders. Develop client materials, manage relationships with senior executives, generate revenue, and mentor junior professionals.

Lead development and expansion of Treasury Management business by building client relationships, executing sales and marketing strategies, advising Relationship Managers, managing portfolios, coordinating deal teams, delivering presentations and events, ensuring onboarding and compliance, and driving revenue through fee expansion and client retention.

Lead preparation and review of daily, weekly, and monthly regulatory reports (FOCUS, Net Capital, Customer Protection) for U.S. broker-dealers. Produce analytics, improve and automate reporting processes, support regulatory exams and audits, and communicate findings to senior management and stakeholders.