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TD

Market Supervision Manager

TD

. Partner closely with the Wealth Market Leader(s) to manage day-to-day supervisory, compliance and operational aspects of the business .

Posted 5/7/2026full-timeFort Lauderdale • Florida • 🇺🇸 United StatesMid-LevelSenior💰 $91,000 - $136,240 per yearWebsite

About the role

Key responsibilities & impact
  • Partner closely with the Wealth Market Leader(s) to manage day-to-day supervisory, compliance and operational aspects of the business
  • Lead and implement business and firmwide control, supervisory and operational excellence initiatives
  • Ensure timely and effective response to Compliance, Central Supervision and Audit reviews
  • Manage all trade corrections in cooperation with Operations, Compliance and WMLs
  • Participate in New Hire interview process focusing on Compliance, Control, Supervisory and Operational concerns

Requirements

What you’ll need
  • 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
  • Strong understanding of regulatory frameworks that apply to TD Wealth
  • Strong Control and Operational experience and knowledge

Benefits

Comp & perks
  • Health and well-being benefits
  • Savings and retirement programs
  • Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
  • Career development opportunities
  • Reward and recognition

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools
supervisory experiencecompliance managementoperational excellencetrade correctionsregulatory frameworksfinancial services knowledge
Soft Skills
leadershipcommunicationorganizational skills
Certifications
FINRA Series 7FINRA Series 24FINRA Series 66