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 experience

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

• Walking – Occasional

• Moving safely in confined spaces – Occasional

• Lifting/Carrying (under 25 lbs.) – Occasional

• Lifting/Carrying (over 25 lbs.) – Never

• Squatting – Occasional

• Bending – Occasional

• Kneeling – Never

• Crawling – Never

• Climbing – Never

• Reaching overhead – Never

• Reaching forward – Occasional

• Pushing – Never

• Pulling – Never

• Twisting – Never

• Concentrating for long periods of time – Continuous

• Applying common sense to deal with problems involving standardized situations – Continuous

• Reading, writing and comprehending instructions – Continuous

• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are

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 strive to make every interaction, product and experience remarkably human and refreshingly simple.  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. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. 

Together, we are reimagining what banking can be for our clients, colleagues and communities. 

Our Total Rewards Package
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. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. 

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

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.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.  Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.