NAM Control Room Head

Td Securities USA • New York, NY

281d • $300,000 - $350,000

About The Position

Lead a team of compliance professionals in the US and Canadian Control Room that are responsible for core control room activities, including grey list maintenance, wall crossings, conflicts management, and research and chaperoning. This includes managing, reviewing and enhancing the overall Control Room program for the global business line of TD Securities (TDS), as well as information barriers between business units across TD Bank as necessary. Design, implement and execute a risk-based Control Room program that meets regulatory expectations and is aligned to peer practices by: Identifying and managing perceived or actual conflicts of interest effectively, implementing and enhancing the relevant systems and technology to support the program, maintaining processes to regularly review of TDS global policies and certain enterprise policies, filing individual insider trading reports in line with Ontario Securities Commission requirements, leading the efforts to harmonize the TD Cowen conflict management data and processes into our TDS Control Room program, producing MI for the relevant businesses as well as for the regional compliance teams, boards and governance committees relating to the design and effectiveness of the Control Room framework, assisting with address responses to regulatory enquiries, investigations or consultations pertaining to information barriers and personal account dealing activities, continually enhancing the compliance program to effectively target, detect and address regulatory violations and breaches leveraging data analytics, setting the Compliance culture, people development and training within the Compliance Leadership Team, being a trusted advisor to the relevant business leaders within TDS providing advice and counsel relative to regulatory compliance, being a trusted partner to the regional TDS Compliance Officers to deliver a Global Control Room program which meets the needs of all jurisdictions in which TD operates, and leading the management and prioritization of Control Room enhancements with key vendors including, but not limited to, Star and Behavox.

Requirements

• 12+ years related experience.
• Proven track record of delivering a Global Control Room program.
• Expertise in regulatory, industry and operational knowledge relating to investment banking and global markets.
• Strong understanding of Control Room and conflict management requirements.
• Ability to assess compliance risk with a strong control and risk management mindset.
• Ability to drive and implement change.
• Graduate or Bachelor's degree or progressive work experience.
• Strong ability to maintain deadlines in instances of competing priorities.

Responsibilities

• Lead a team of compliance professionals in the US and Canadian Control Room.
• Manage core control room activities including grey list maintenance, wall crossings, conflicts management, and research and chaperoning.
• Design, implement and execute a risk-based Control Room program.
• Identify and manage perceived or actual conflicts of interest effectively.
• Implement and enhance relevant systems and technology to support the program.
• Maintain processes to regularly review TDS global policies and certain enterprise policies.
• File individual insider trading reports in line with Ontario Securities Commission requirements.
• Lead efforts to harmonize the TD Cowen conflict management data and processes into TDS Control Room program.
• Produce MI for relevant businesses and regional compliance teams.
• Assist with responses to regulatory enquiries, investigations or consultations.
• Enhance the compliance program to target, detect and address regulatory violations.
• Set the Compliance culture, people development and training within the Compliance Leadership Team.
• Provide advice and counsel relative to regulatory compliance to business leaders.
• Partner with regional TDS Compliance Officers to deliver a Global Control Room program.
• Manage and prioritize Control Room enhancements with key vendors.

Benefits

• Base salary and variable compensation/incentive awards.
• Health and well-being benefits.
• Savings and retirement programs.
• Paid time off including Vacation PTO, Flex PTO, and Holiday PTO.
• Banking benefits and discounts.
• Career development opportunities.
• Reward and recognition programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree