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

About the role

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.

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.
• Develop and enhance 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.