Senior Manager, Head of APAC Control Room - Compliance

Description

Position Overview

We are seeking a highly experienced and strategic Director to establish and manage the Singapore Control Room within Compliance at TD Securities ("TDS"). The ideal candidate will bring over 10 years of specialized experience working in a Control Room, with experience in clearing and managing conflicts across TDS, covering traditional Control Room responsibilities (covering Investment Banking, Capital Markets, Research, Conflicts, Employee Trading), the role will be responsible for reviewing U.S. and Canadian Equity Research, reviewing employee trading, reviewing conflicts, and contributing towards different technology projects.

Key Responsibilities :

Lead the identification, assessment, and resolution of potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions.

Review US and Canada equity research and ensure compliance with both US and Canada research safe harbors rules (examples include, SEC rules 137, 138, 139, UMIR, CIRO and IIROC).

Coordinate with the Global Control Room partners on, implementation, and continuous improvement of conflict management frameworks, policies, and procedures.

Drive the development and enhancement of conflict management systems and tools, ensuring alignment with regulatory expectations and business needs.

Clear conflicts for the corporate and investment bank, ensuring compliance with internal policies and regulatory requirements.

Review employee trading activities to identify and mitigate potential conflicts of interest.

Lead and manage cross-functional change projects, including global policy rollouts, system migrations, and process reengineering.

Serve as a senior advisor to various businesses and compliance stakeholders on Core Control Room activities, Employee Trading, Conflicts, and Research matters.

Mentor and guide junior team members, fostering a culture of compliance and continuous improvement.

Qualifications :

Minimum 10 years of experience in Control Room, Conflicts management within a global financial institution, preferably in a or compliance function.

Deep understanding of investment banking products, services, and regulatory frameworks including reviewing and approving U.S. and Canada equity research and understanding research safe harbors in the US and Canada.

Ability to effectively communicate with senior Investment Banking, Sales and Trading and Research teams.

Demonstrated success in building and implementing conflict management systems and tools.

Proven experience leading large-scale change projects in a matrixed, global environment.

Strong analytical, problem-solving, and project management skills.

Ability to act independently and coordinate with regional team members, compliance advisory and all front office staff.

Excellent communication and stakeholder management abilities.

Bachelor’s degree required; advanced degree or professional certification (e.g., JD, MBA) is a plus.

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

Additional Information :

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.