Manager, Wealth Business Controls - Mount Laurel, NJ

TD•Boston, MA

1d•$91,000 - $145,600•Onsite

About The Position

This role supports the execution and administration of key regulatory, supervisory, and risk management programs across TD Wealth. Responsible for the day-to-day implementation, monitoring, reporting, and control activities related to Conflicts of Interest, Regulation W, Transactions with Affiliates, Licensing & Registration, Marketing Review, and Business Continuity Planning. This role is a liaison with business partners, Compliance, Legal, Risk, Operations, and Human Resources to ensure regulatory requirements, supervisory controls, and program standards are effectively executed and maintained.

Requirements

Bachelor's degree required
5+ years of experience within wealth management, broker-dealer operations, investment advisory services, risk management, compliance, regulatory oversight, or operational governance
Must have FINRA Series 24
Strong knowledge of SEC, FINRA, Federal Reserve, and banking regulatory requirements
Experience interacting with regulators, auditors, compliance functions, and senior executives
Demonstrated experience implementing governance frameworks and regulatory control programs
Strong knowledge of conflicts of interest frameworks and governance, Regulation W requirements, affiliate transactions oversight, marketing and advertising supervision requirements, Business Continuity and Operational Resilience programs, Wealth Management products, services and distribution channels
Strategic thinking and problem solving
Strong regulatory and risk management acumen
Excellent communications and executive presentation skills
Ability to influence across multiple stakeholder groups
Strong project management and execution capabilities
Proven ability to manage multiple priorities in a complex regulatory environment
Must be eligible for employment under standards established by FINRA.
Satisfactory results on a criminal background check, credit report check, civil litigation search, and 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, are required by federal law for this position.

Nice To Haves

advanced degree preferred

Responsibilities

Coordinates administration of the Wealth Conflicts of Interest program
Maintains conflict inventories, logs, attestations, and supporting documentation
Performs monitoring activities and identifies potential conflicts requiring escalation
Tracks mitigation activities and facilitates follow-up with business stakeholders
Prepares reporting packages for governance committees and management review
Supports licensing and registration activities for registered personnel
Monitors renewal requirements, continuing education obligations, and registration statuses
Coordinates regulatory filings, amendments, and updates
Tracks exceptions and partners with Human Resources and Compliance to resolve deficiencies
Maintains accurate records and documentation supporting regulatory requirements
Coordinates workflow associated with review and approval of marketing materials and sales communications
Ensures submissions are routed through appropriate approval channels
Monitors turnaround times and approval status
Maintains records and evidence supporting supervisory review requirements
Assists with implementation of enhancements to marketing supervision processes
Performs monitoring and documentation activities supporting Regulation W compliance
Maintains inventories of affiliate arrangements and transactions
Coordinates reviews and approvals with affected stakeholders
Identifies exceptions, escalates concerns, and supports remediation activities
Prepares reporting and documentation for periodic reviews and examinations
Supports maintenance of Wealth Management business continuity plans
Coordinates annual reviews, testing exercises, and recovery validation activities
Tracks action items resulting from testing exercises
Maintains documentation and evidence supporting program compliance
Supports crisis management and incident response activities as needed
Tracks compliance, audit, and regulatory findings
Maintains issue logs and remediation plans
Coordinates collection of supporting documentation and evidence
Monitors action plan progress and escalates overdue items
Supports responses to internal audits, compliance reviews, and regulatory examinations
Identifies opportunities to streamline oversight, supervisory, and control processes across Wealth Management
Leads process improvement initiatives focused on reducing operational risk, enhancing efficiency, and improving the employee and client experience
Applies Lean, Six Sigma, and continuous improvement methodologies to eliminate process inefficiencies, manual touchpoints, and control gaps
Conducts process mapping, root cause analysis, and workflow reviews to improve effectiveness and scalability
Develops and monitors key performance indicators (KPIs) and process metrics to measure operational performance and identify trends
Partners with Technology, Operations, Compliance, and business stakeholders to implement process automation and digital solutions
Supports implementation of enhanced workflows, monitoring routines, reporting tools, and governance processes
Drives continuous improvement efforts resulting from audits, regulatory examinations, quality assurance reviews, and business feedback
Assists with implementation and maintenance of procedures and control documentation
Conducts periodic control reviews and self-assessments
Supports testing and validation of key controls
Identifies opportunities for process improvements and operational efficiencies
Produces recurring management reports, dashboards, and metrics
Monitors trends, exceptions, and key risk indicators
Coordinates meetings, governance materials, and follow-up actions
Supports communications and training efforts related to oversight programs