Td Bank Director Compliance - Conflicts Manager Global Control Room 

United States, New York, New York 

569119719

New York, New York, United States of America

$225,000 - $250,000 USD

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.