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

Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities (Corporate and Investment Banking, Capital Markets, Commercial Banking, Mergers and Acquisitions, etc.).,Collaborate with the Conflicts Director on the design, implementation, and continuous improvement of conflict management frameworks, policies, and procedures.,Develop and enhance conflict management systems and tools, ensuring alignment with regulatory expectations and business needs.,Partner with technology teams, 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 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.,Oversee/lead teams of specialists/professionals providing advice and expertise on regulatory requirements and assisting business units to manage their regulatory risk.,Manage a specialized compliance area, business or function and lead a team of specialists.,Act as a key contact for business management, regulators, and external/internal auditors.,Focus on short to mid-range planning (e.g., 6-12 months).,Manage regulatory reviews including inquiries, audits, and exams.

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.

Bachelor's Degree

Occasional Domestic Travel