Director, Compliance - Conflicts Manager, Global Control Room

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$225,000 - $250,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. 

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:

TD Securities is seeking a highly experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing and mitigating conflicts of interest across the firm’s global business lines. The ideal candidate will bring over 10 years of specialized experience in conflicts management, with a proven track record of building scalable systems and leading large-scale change initiatives in complex, regulated environments.

Key Responsibilities:

• Lead the identification, assessment, and resolution of potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment Banking, Capital Markets, Commercial Banking, Mergers and Acquisitions, and other business units within TD Securities and TD Bank as needed

• Oversee the design, implementation, and continuous improvement of conflict management frameworks, policies, and procedures

• Drive the development and enhancement of a new conflict management systems and tools, ensuring alignment with regulatory expectations and business needs

• Partner with technology teams and project management, and business stakeholders to define system requirements and deliver robust, scalable solutions

• Lead and manage cross-functional change projects, including global policy rollouts, system migrations, and process reengineering

• Serve as a senior advisor to 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, train, and guide junior team members, fostering a culture of compliance and continuous improvement

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability

• Position deals with senior/executive management

• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information

• Focuses on longer-range planning for functional area (e.g. 12 months or greater)

• Manages and prioritizes multiple projects at a given time

Education & Experience:

• Bachelors degree or progressive work experience

• 7-10 years related experience

Preferred Qualifications:

• 10+ years of experience in conflicts management within a global financial institution, preferably in a control room or compliance function

• Deep understanding of investment banking products, services, and regulatory frameworks (e.g., FINRA, SEC, MiFID II)

• Demonstrated success in building and implementing conflict management processes, 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.

• Advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM) is a plus.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel: Occasional

• International Travel: Never

• Performing sedentary work: Continuous

• Performing multiple tasks: Continuous

• Operating standard office equipment: Continuous

• Responding quickly to sounds: Occasional

• Sitting: Continuous

• Standing: Occasional

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