Manager - Singapore Control Room Compliance
Core
Managing and mitigating conflicts of interest within TD Securities' Corporate and Investment Bank and advisory businesses across TD Enterprise.
Role type
Senior IC compliance manager (control room)
Builds
Conflict management frameworks, policies, procedures, and systems/tools
Domain
Financial services / Investment Banking / Compliance
Required skills
Conflict of interest management, U.S. and Canadian equity research review, regulatory compliance (FINRA, SEC, MiFID II), transaction oversight, wall crossings, list management, MNPI assessment, employee trading review, project management, cross-functional leadership, regulatory monitoring
Preferred skills
JD, MBA, CAMS, CRCM certification, experience with global policy rollouts, system migrations, process reengineering
Technologies
None stated
Responsibilities
Review U.S. and Canadian equity research for safe harbor compliance; Lead identification and resolution of conflicts across investment banking and capital markets; Oversee design and implementation of conflict management frameworks; Drive development of conflict management systems and tools; Review and clear transactional conflicts; Own regional coverage for Global Employee Trading Program; Prepare and file substantial shareholding and short-selling reports; Mentor junior team members
Seniority
Senior, hands-on IC