Market Supervision Manager
TD
full-time
Posted on:
Location Type: Hybrid
Location: New York City • Massachusetts • New Jersey • United States
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Salary
💰 $91,000 - $145,600 per year
About the role
- Manage day-to-day supervisory, compliance, and operational aspects of the business
- Partner with Wealth Market Leader(s) to lead and develop supported Market(s)
- Implement business and firmwide control and operational excellence initiatives
- Ensure compliance with timely responses and completions of required trainings
- Address and resolve escalated Supervisory inquiries
- Participate in New Hire interview process with focus on Compliance, Control, Supervisory and Operational concerns
- Assist in resolution of customer complaints
Requirements
- Bachelor's Degree preferred
- 5+ years industry experience
- FINRA Series 7, 24 and 66 (or equivalent) required
- 3+ years of relevant supervisory experience in brokerage, annuity, advisory, banking and lending activity
- Broad knowledge and experience in Financial Services
- Strong Control and Operational experience
- Leadership, communication and influencing skills to drive change
- Ability to travel 50% of the time
Benefits
- 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 opportunities
- Reward and recognition programs
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
supervisory experiencecomplianceoperational excellencecustomer complaint resolutiontraining completion
Soft Skills
leadershipcommunicationinfluencingproblem-solving
Certifications
FINRA Series 7FINRA Series 24FINRA Series 66