# Manager - Singapore Control Room Compliance at TD Bank

TD Bank is hiring a Manager - Singapore Control Room Compliance (Singapore). Level rates it Little AI ●○○○; you can [apply on TD Bank](https://jobsbylevel.com/go/b822256c-2d78-45f0-b020-338760c6c7c1?utm_medium=ai-agent).

AI Level 1, AI centrality 0 out of 100. Singapore, Singapore.

## Details

- Company: [TD Bank](https://jobsbylevel.com/companies/td-bank)
- AI level: AI Level 1 (score 0 out of 100)
- Location: Singapore, Singapore
- Posted: November 2, 2026
- Apply: https://jobsbylevel.com/go/b822256c-2d78-45f0-b020-338760c6c7c1?utm_medium=ai-agent
- Free CV review for this job: https://jobsbylevel.com/cv-review?job=manager-singapore-control-room-compliance-at-td-bank-230496

## Prepare for this job

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## Description

Work Location : Singapore, Singapore Hours: 40 Line of Business: Compliance Pay Details: We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role. Job Description: Position Overview We are seeking a highly experienced Vice President to work in the Singapore Control Room within Compliance at TD Securities. This role is critical in managing and mitigating different types of conflicts of interest within TD Securities' Corporate and Investment Bank and other advisory businesses across TD Enterprise. The ideal candidate will bring specialist Control Room experience, including reviewing U.S. and Canadian research, clearing and managing conflicts across the Corporate and Investment Bank, covering traditional Control Room responsibilities, reviewing employee trading, and leading project work. Key Responsibilities Review U.S. and Canadian equity research and ensure compliance with U.S. and Canadian research safe harbors and chaperoning practices. Act as a key member of the Global Control Room team, supporting the full range of day-to-day control room activities, including, but not limited to, transaction oversight, wall crossings, list management, and MNPI assessments. Lead the identification, assessment, and resolution of potential and actual conflicts of interest across investment banking, capital markets, commercial banking, and mergers and acquisitions. Oversee the design, implementation, and continuous improvement of conflict management frameworks, policies, and procedures. Drive the development and enhancement of conflict management systems and tools, ensuring alignment with regulatory expectations and business needs. Review and clear transactional conflicts for the Corporate and Investment Bank and other advisory businesses, ensuring compliance with internal policies and regulatory requirements. Partner with the Equity Aggregation team and trading businesses for certain large holdings restrictions. Own regional coverage for the Global Employee Trading Program and partner with the global team for procedural and policy updates. Assist with electronic communications reviews and other bespoke reviews as needed. Prepare and file substantial shareholding and short-selling position reports within regulatory deadlines. Produce MI and reporting on control room activity, breaches, and trends. Lead and manage cross-functional change projects, including global policy rollouts, system migrations, and process reengineering. Serve as a senior adviser to the business and compliance stakeholders on complex conflict scenarios. 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. Qualifications A minimum of 7 years' experience in a Control Room function within a global financial institution. Ability to work and partner across multiple jurisdictions and with Control Rooms in London, New York and Toronto. Must be flexible and able to attend occasional meetings outside APAC working hours. Deep understanding of investment banking products, services, and regulatory frameworks (e.g., FINRA, SEC, MiFID II), including experience reviewing and approving U.S. and Canadian equity research and a strong understanding of the applicable research safe harbors. Demonstrated success in building, implementing, and enhancing Control Room and conflict management systems and tools. Proven experience leading large-scale change projects in a matrixed, global environment. Strong analytical, problem-solving, and project management skills. Excellent communication and stakeholder management abilities. A bachelor’s degree is required; advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM) is a

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