Td Bank Director Compliance - Conflicts Manager Global Control Room United States, New York, New York 569119719
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
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.
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.
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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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