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

Conflicts Officer

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.

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.

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.

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.