NAM Control Room Head

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Depth & Scope:

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.
• Lead the efforts to harmonize the TD Cowen conflict management data and processes into our TDS Control Room program .
• Produce 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.
• Assist with address responses to regulatory enquiries, investigations or consultations pertaining to information barriers and personal account dealing activities.
• Continually enhance the compliance program to effectively target, detect and address regulatory violations and breaches leveraging data analytics.
• Within the Compliance Leadership Team, set the Compliance culture, people development and training.
• Be a trusted advisor to the relevant business leaders within TDS providing advice and counsel relative to regulatory compliance.
• Be 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.
• Lead the management and prioritization of Control Room enhancements with key vendors including, but not limited to, Star and Behavox.

Leadership Capabilities:
• Ability to navigate the requirement to effectively challenge business leaders while providing value added guidance.
• Align key stakeholders, using influence where necessary, to enable the team and the organization to get things done.
• Takes personal responsibility for the success of TD and our brand.
• Promotes a clear vision and engages diverse teams to solve business challenges.
• Sets clear expectations for the team and the business and conveys opinions transparently.

Education & Experience:
• 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 including a strong understanding of Control Room and conflict management requirements.
• Ability to assess compliance risk with a strong control and risk management mindset.
• Combine forward looking with ability to drive and implement change.
• Carry out TD's People Strategies to attract, retain, develop and engage a highly qualified team.
• Graduate or Bachelor's degree or progressive work experience.
• Strong ability to maintain deadlines in instances of competing priorities.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more

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 are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.