Director, Head of London Control Room â Compliance
Director, Head of London Control Room â Compliance
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Job Description
Work Location:
London United KingdomHours:
35Line of Business:
TD SecuritiesPay Details:
Were committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.
Job Description:
We are seeking a highly experienced and strategic Director to lead the London Control Room within Compliance at TD Securities. This role is critical in managing and mitigating conflicts of interest across TD Securities Corporate and Investment Bank. The ideal candidate will bring over 10 years of specialized experience working in a control room with experience in clearing and managing conflicts across the Corporate and Investment Bank covering traditional Control Room responsibilities reviewing U.S. and Canadian Research reviewing employee trading and leading project work.
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.
- Oversee the design 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 business and compliance stakeholders on complex conflict scenarios.
- Monitor regulatory developments and industry best practices to ensure the firms conflict management program remains best-in-class.
- Mentor and guide junior team members fostering a culture of compliance and continuous improvement.
Qualifications:
- Minimum 10 years of experience in conflicts management within a global financial institution preferably in a control room or compliance function.
- Deep understanding of investment banking products services and regulatory frameworks (e.g. FINRA SEC MiFID II) including reviewing and approving U.S. and Canada equity research and understanding research safe harbors in the US and Canada.
- 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.
- Excellent communication and stakeholder management abilities.
- Bachelors degree required; advanced degree or professional certification (e.g. JD MBA CAMS CRCM) is a plus.
Who We Are
TD is one of the worlds 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 95000 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 youve 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 were 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:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.
Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 were committed to helping you identify opportunities that support your goals.
Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.
Interview Process
Well 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.
Required Experience:
Director
Employment Type
Full-Time
