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.

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.

• 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.