VP, London Control Room officer – Compliance

We are seeking a highly experienced Vice President to work in the London Control Room within Compliance at TD Securities. The ideal candidate will have 5-7 years of experience working in a Control Room, with a focus on clearing and managing conflicts across the Global Corporate and Investment Bank, and covering traditional Control Room responsibilities such as reviewing U.S. and Canadian Research and Chaperoning, frequent interaction with Banking and Research, reviewing employee trading, and working on project work.

Key Responsibilities:

• Review and escalate conflict checks for the Global Investment Bank.
• Maintain the TD Securities Grey and Restricted lists.
• Chaperone interactions and communications between Research and Investment Banking.
• Review and approve US and Canadian equity Research with an understanding of US and Canadian Research safe harbor rules.
• Daily engagement with Research and Investment Banking to provide advice and guidance to business partners, conduct deal updates, answer and respond to conflicts clearance requests, and work through questions from the global Control Room inbox.
• Participate in regulatory exams and work with internal auditors.
• Participate in different Control Room projects with Technology and project management teams.
• Work closely with Control Room partners in Toronto, and US Control Room.
• Work closely with Compliance Advisory and Legal as needed.
• 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.
• Work closely with our Technology and Project teams and collaborating on various global Control Room initiatives and projects.

Qualifications:

• Five to seven years of direct Control Room experience, with over 10 years in total of work experience working in a Global Investment Bank in a control room or similar compliance function.
• Experience with collaborating with regional control room teams and operating on a global team.
• Strong understanding and extensive experience with US Research Safe Harbors (US securities law, Rules 137, 138, and 139 of the Securities Act of 1933).
• Deep understanding of investment banking products, services, and regulatory frameworks (e.g., FINRA, SEC, FCA, PRA, CIRO), including reviewing and approving U.S. and Canada equity research and understanding research safe harbors in the US and Canada.
• Experience with building and implementing control room and conflict management systems and tools.
• Strong analytical, problem-solving, and project management skills.
• Excellent communication and stakeholder management abilities.
• Bachelor’s degree required; advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM) is a plus.

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.

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. 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.

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.