Market Supervision Manager
TD
full-time
Posted on:
Location Type: Office
Location: Vienna • Florida • New Jersey • United States
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Salary
💰 $91,000 - $145,600 per year
About the role
- Partner closely with the Wealth Market Leader(s) to manage the day-to-day supervisory, compliance and operational aspects of the business
- Lead and develop supported Market(s) strategically
- Implement business and firmwide control, supervisory and operational excellence initiatives
- Ensure timely and effective response to Compliance, Supervision, and Audit, Compliance or other Reviews
- Address and resolve escalated Supervisory inquiries
- Manage all trade corrections in cooperation with Operations, Compliance and WMLs
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 base and experience in Financial Services with sound understanding of regulatory frameworks that apply to TD Wealth
- Strong Control and Operational experience and knowledge
- Leadership, communication and influencing skills to drive change
- Ability to travel 50% of 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 and 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 excellencetrade correctionsregulatory frameworksfinancial services
Soft Skills
leadershipcommunicationinfluencing skillsproblem-solving
Certifications
FINRA Series 7FINRA Series 24FINRA Series 66