Market Supervision Manager - Vienna, VA
About The Position
The Market Supervision Manager partners closely with Wealth Market Leaders and, on a delegated basis, manages the day-to-day supervisory, compliance, and operational aspects of supported markets to help achieve strategic objectives. The role serves as a FINRA-designated supervisor for registered and associated persons in those markets, while partnering with market leadership to develop the business and implement firmwide controls and operational excellence initiatives. The manager supports regulatory and audit reviews, required training, account reviews, escalated supervisory inquiries, trade corrections, outside business activity approvals, and customer complaint resolution. The position requires broad financial services knowledge, strong control and operational experience, leadership and communication skills, and travel of up to 50% of the time.
Requirements
- Five or more years of industry experience.
- FINRA Series 7, 24, and 66 licenses, or equivalent, required.
- Three or more years of relevant supervisory experience in brokerage, annuity, advisory, banking, and lending activity.
- Broad financial services knowledge and experience, with a 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 the time.
- Must be eligible for employment under standards established by FINRA.
- Satisfactory criminal background, credit report, civil litigation, and regulatory agency or self-regulatory organization enforcement action checks are required.
Nice To Haves
- Bachelor's degree preferred.
- Exposure to or prior work with major financial services regulators, including OCC and FINRA.
Responsibilities
- Serve as the FINRA-designated supervisor, by delegation from the Wealth Market Leader, for registered and associated persons in supported markets.
- Partner strategically with Wealth Market Leaders to lead and develop supported markets.
- Lead and implement business and firmwide control, supervisory, and operational excellence initiatives with supported Wealth Market Leaders.
- Ensure timely and effective responses to Compliance, Central Supervision, Audit, and other reviews.
- Ensure timely completion of required learning, compliance training, and new product or service training.
- Ensure timely and effective completion of annual, new account, and high-risk account reviews.
- Address and resolve escalated supervisory inquiries.
- Participate in new-hire interviews, focusing on compliance, control, supervisory, and operational concerns.
- Manage trade corrections in cooperation with Operations, Compliance, and Wealth Market Leaders.
- Review and approve Outside Business Activities in coordination with Wealth Market Leaders.
- Assist in resolving customer complaints.
Benefits
- Health and well-being benefits.
- Savings and retirement programs.
- Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO.
- Banking benefits and discounts.
- Career development, training, mentoring, and access to an online learning platform.
- Variable compensation or incentive awards, potentially including cash and/or equity awards.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
