Market Supervision Manager - Fort Lauderdale, FL

TD•West Palm Beach, FL

2d•Onsite

About The Position

The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected, on a delegated basis, to manage the day-to-day supervisory, compliance and operational aspects of the business in order to achieve our strategic objectives for the Market(s). This role is FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s). The manager will strategically partner with WML(s) to lead and develop supported Market(s), lead and implement business and firm-wide control, supervisory and operational excellence initiatives with supported WML(s). They will ensure timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews, and timely completions of required learnings, compliance training, new product or service trainings, etc. The role also ensures timely and effective completion of annual and new account reviews, high risk account reviews, etc., addresses and resolves escalated Supervisory inquiries, participates in New Hire interview process with a focus on Compliance, Control, Supervisory and Operational concerns, and manages all trade corrections in cooperation with Operations, Compliance and WMLs. Additionally, the Market Supervision Manager reviews and approves Outside Business Activities in coordination with the WML(s) and assists in the resolution of customer complaints.

Requirements

Bachelor's Degree preferred
5+ years of 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
Must be eligible for employment under standards established by FINRA.
Subject to the investigation and verification requirements of FINRA Rule 3110(e)
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

Exposure to or previous work with major financial service regulators including OCC and FINRA.

Responsibilities

FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s)
Strategically partners with WML(s) to lead and develop supported Market(s)
Leads and implements business and firm-wide control, supervisory and operational excellence initiatives with supported WML(s)
Ensures timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews
Ensures timely completions of required learnings, compliance training, new product or service trainings, etc
Ensures timely and effective completion of annual and new account reviews, high risk account reviews, etc
Addresses and resolves escalated Supervisory inquiries
Participates in New Hire interview process with a focus on Compliance, Control, Supervisory and Operational concerns
Manages all trade corrections in cooperation with Operations, Compliance and WMLs
Reviews and approves Outside Business Activities in coordination with the WML(s)
Assists in the resolution of customer complaints