VP, Global Control Room Compliance & Conflict Management

TD Bank - London Branch; City Of London; On-site; GBP 68,000 - 99,000; Full time

Job summary

A leading global financial institution in London is seeking a Vice President for its Compliance team. The role focuses on managing conflicts in the Control Room with responsibilities including conflict checks, regulatory compliance, and mentoring junior staff. Candidates should have 5-7 years of relevant experience and strong analytical and communication skills. This position offers competitive rewards and opportunities for career advancement.

Benefits

Health and well-being benefits

Paid time off

Career development programs

Qualifications

• 5-7 years of direct Control Room experience in a Global Investment Bank.
• Strong understanding of US Research Safe Harbors.
• Experience with regulatory frameworks such as FINRA, SEC, FCA.

Responsibilities

• Review conflict checks for the Global Investment Bank.
• Maintain TD Securities Grey and Restricted lists.
• Engage with Research and Investment Banking for guidance.
• Approve US and Canadian equity Research.
• Engage with partners for advice and clearance requests.

Skills

Conflict management

Analytical skills

Project management

Excellent communication

Excellent communication

Education

Bachelor's degree

Advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM)

Job description

A leading global financial institution in London is seeking a Vice President for its Compliance team. The role focuses on managing conflicts in the Control Room with responsibilities including conflict checks, regulatory compliance, and mentoring junior staff. Candidates should have 5-7 years of relevant experience and strong analytical and communication skills. This position offers competitive rewards and opportunities for career advancement.