Market Supervision Manager - Vienna, VA
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
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 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
Benefits
- Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
- Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
