VP, London Control Room officer – Compliance in City of London

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.

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.

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.

At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.