Td Bank Senior Manager Head APAC Control Room - Compliance 

Singapore, Singapore 

339841239

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.

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.

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