Manager - Singapore Control Room Compliance

TD; Singapore; Sur place; SGD 230 000 - 300 000; Plein temps

Résumé du poste

TD Securities in Singapore seeks a highly experienced Vice President to lead the Control Room within Compliance. You will manage conflicts of interest across investment banking, capital markets and advisory businesses, review U.S. and Canadian research, and drive policy implementation globally from Singapore.

The role demands 7+ years in a Control Room, deep regulatory knowledge (FINRA, SEC, MiFID II), and strong leadership to mentor staff and deliver compliant solutions across regions.

Qualifications

• 7+ years in a Control Room within a global financial institution.
• Experience collaborating with London, New York, and Toronto Control Rooms.
• Willingness to attend occasional meetings outside APAC working hours.
• Deep knowledge of investment banking products and regulatory frameworks (FINRA, SEC, MiFID II).
• Proven ability to build, implement, and enhance Control Room systems and tools.
• Bachelor’s degree required; advanced degree or certifications (JD, MBA, CAMS, CRCM) a plus.

Responsabilités

• Review U.S. and Canadian equity research for compliance with research safe harbors and chaperoning practices.
• Support day-to-day control room activities including transaction oversight and MNPI assessments.
• Lead identification, assessment, and resolution of conflicts across IB, capital markets, and M&A.
• Oversee design and enhancement of conflict management frameworks, policies, and procedures.
• Drive development and deployment of conflict management systems in line with regulatory expectations.
• Review and clear transactional conflicts for CIB and other advisory businesses.
• Partner with Equity Aggregation team for large holdings restrictions.
• Oversee Global Employee Trading Program regional coverage and policy updates.
• Prepare and file shareholding and short-selling reports within deadlines.
• Produce MI and reporting on control room activity, breaches and trends.
• Lead cross-functional change projects, including policy rollouts and system migrations.
• Mentor junior team members and maintain a culture of compliance.

Connaissances

Control Room experience

Regulatory knowledge

Conflict management

Stakeholder management

Project management

Analytical skills

Communication skills

Formation

Bachelor’s degree

Advanced degree or CAMS/JD/MBA

Description du poste

Work Location

Singapore, Singapore

Hours:

40

Line of Business:

Compliance

Pay Details:

We’re 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:

Position Overview

We are seeking a highly experienced Vice President to work in the Singapore Control Room within Compliance at TD Securities. This role is critical in managing and mitigating different types of conflicts of interest within TD Securities’ Corporate and Investment Bank and other advisory businesses across TD Enterprise. The ideal candidate will bring specialist Control Room experience, including reviewing U.S. and Canadian research, clearing and managing conflicts across the Corporate and Investment Bank, covering traditional Control Room responsibilities, reviewing employee trading, and leading project work.

Key Responsibilities

• Review U.S. and Canadian equity research and ensure compliance with U.S. and Canadian research safe harbors and chaperoning practices.
• Act as a key member of the Global Control Room team, supporting the full range of day-to-day control room activities, including, but not limited to, transaction oversight, wall crossings, list management, and MNPI assessments.
• Lead the identification, assessment, and resolution of potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions.
• 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.
• Review and clear transactional conflicts for the Corporate and Investment Bank and other advisory businesses, ensuring compliance with internal policies and regulatory requirements.
• Partner with the Equity Aggregation team and trading businesses for certain large holdings restrictions.
• Own regional coverage for the Global Employee Trading Program and partner with the global team for procedural and policy updates.
• Assist with electronic communications reviews and other bespoke reviews as needed.
• Prepare and file substantial shareholding and short-selling position reports within regulatory deadlines.
• Produce MI and reporting on control room activity, breaches, and trends.
• Lead and manage cross-functional change projects, including global policy rollouts, system migrations, and process reengineering.
• Serve as a senior adviser to the business and compliance stakeholders on complex conflict scenarios.
• Monitor regulatory developments and industry best practices to ensure the firm’s conflict management program remains best-in-class.
• Mentor and guide junior team members, fostering a culture of compliance and continuous improvement.

Qualifications

• A minimum of 7 years’ experience in a Control Room function within a global financial institution.
• Ability to work and partner across multiple jurisdictions and with Control Rooms in London, New York and Toronto.
• Must be flexible and able to attend occasional meetings outside APAC working hours.
• Deep understanding of investment banking products, services, and regulatory frameworks (e.g., FINRA, SEC, MiFID II), including experience reviewing and approving U.S. and Canadian equity research and a strong understanding of the applicable research safe harbors.
• Demonstrated success in building, implementing, and enhancing Control Room and 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.
• A bachelor’s degree is required; advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM) is a plus.

Who We Are

TD Securities 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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We’re committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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.