Senior Compliance Officer (Associate) - Conflicts Management, Global Control Room (NY) - TD Securities (US)

TD•New York, NY

7d•$100,000 - $135,000•Onsite

About The Position

We are seeking a Conflicts Officer at the Associate-level 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 3+ 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. The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

Requirements

Minimum 3-5 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.
Bachelors degree or progressive work experience.
5-7 Years of related experience.

Nice To Haves

advanced degree or professional certification (e.g., JD, MBA, CAMS, CRCM) is a strong plus.

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.
Provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.
Works independently as the senior officer and may coach and educate others.
Individual contributor role providing specialized expertise or may lead a small team of specialists.
Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators.
Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information.
Provides day to day interaction and support to Management.
Oversees/executes and/or performs tasks from end to end.
Focuses on short to mid-term issues (e.g. monthly-quarterly).