Market Supervision Manager
Description
The Market Supervision Manager at TD Wealth collaborates with Market Leaders to oversee the daily supervisory, compliance, and operational facets of the business, aiming to achieve strategic objectives. Key responsibilities include implementing control initiatives, ensuring prompt responses to audits and reviews, addressing escalated inquiries, managing trade corrections, and assisting with customer complaints.
What We're Looking For
Serve as FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s),Partner strategically with WML(s) to lead and develop supported Market(s),Lead and implement business and firmwide control, supervisory and operational excellence initiatives with supported WML(s),Ensure timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews,Ensure timely completion of required learnings, compliance training, new product or service trainings, etc.,Ensure timely and effective completion of annual and new account reviews, high risk account reviews, etc.,Address and resolve escalated Supervisory inquiries,Participate in New Hire interview process with a focus on Compliance, Control, Supervisory and Operational concerns,Manage all trade corrections in cooperation with Operations, Compliance and WMLs,Review and approve Outside Business Activities in coordination with the WML(s),Assist in the resolution of customer complaints
Ideal Candidate
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 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
Minimum Education
Bachelor's Degree
Hard Skills
Soft Skills
Work Hours
40 hours/week
Benefits
Special Commitments
Ability to travel 50% of time,Must be eligible for employment under standards established by FINRA,Subject to investigation and verification requirements of FINRA Rule 3110(e),Requires satisfactory results on a criminal background check, credit report check, civil litigation search, regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization
Also Available At
About the Company
The Toronto-Dominion Bank
The Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group, one of the largest banks in North America. TD provides a wide range of personal, commercial, and investment banking products and services to over 27 million customers globally. Headquartered in Toronto, Canada, the bank operates through key segments including Canadian Retail, U.S. Retail, and Wholesale Banking.
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