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Director – Compliance – Conflicts Manager – Global Control Room
| Company | TD Bank |
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| Location | New York, NY, USA |
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| Salary | $225000 – $250000 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Expert or higher |
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Requirements
- Bachelors degree or progressive work experience
- 7-10 years related experience
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
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.
