VP Compliance - Conflicts Manager, Global Control Room (NY) - TD Securities (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $185,000 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:

We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This role is critical in reviewing, managing and mitigating conflicts of interest across the firm’s global business lines. The ideal candidate will bring between 5-7 years of specialized experience in conflicts management, with a track record of working on conflicts systems and working on large-scale change initiatives in a complex, regulated environment.

Key Responsibilities:

• Identify, assess, and resolve 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.

• Work closely with the Conflicts Director on the design, implementation, and continuous improvement of conflict management frameworks, policies, and procedures.

• Work on 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 an advisor to the business, legal 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.

Qualifications:

• Minimum 5-7 years of direct experience in conflicts management within a global financial institution, preferably in a Control room or Compliance function.

• Bachelor’s degree required; advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM) is a strong plus.

• Deep understanding of investment banking products, services, and regulatory frameworks

• 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.

Why Join Us?

• Be part of a high-impact team at the forefront of managing reputational and regulatory risk.

• Work in a dynamic, global environment with opportunities for innovation and leadership.

• Collaborate with senior leaders across compliance, legal, and business functions.

*General Job Description:

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Depth & Scope:

• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists

• Subject matter expert for a functional area

• Key contact for business management, regulators and external/internal auditors, dealing with non-routine information

• Focuses on short to mid- range planning (e.g. 6-12 months)

• Manages regulatory reviews including inquiries, audits, and exams

Education & Experience:

• Bachelors degree or progressive work experience

• 5-7 Years of related exper