Market Supervision Manager
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-today supervisory, compliance and operational aspects of the business in order to achieve our strategic objectives for the Market(s). Depth & Scope: 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 firmwide 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
Requirements
- Bachelor's Degree preferred
- 5+ industry experience
- FINRA Series 7, 24 and 66 (or equivalent) required
- 3+ yeas 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
- 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.
Responsibilities
- Manage day-to-day supervisory, compliance, and operational aspects of the business
- Strategically partner with WML(s) to lead and develop supported Market(s)
- Lead and implement business and firmwide control, supervisory and operational excellence initiatives
- Ensure timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews
- Ensure timely completions 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
