Supervision Management Specialist

TD Bank • Coral Gables, FL

128d • $86,840 - $130,000

About The Position

The Supervision Controls Specialist is a FINRA and SEC regulatory supervisory principal role assisting in the regulatory oversight for TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Supervision Controls Specialist supports the overall department with business-led strategic initiatives, including project management, procedural updates, reporting, and platform enhancements for U.S. Wealth. In addition, this role provides leadership in key department initiatives, taking a key role in high-profile projects, including regulatory change management, and preparing for new product launches. This role works closely with all departments within the US Wealth organization, but specifically with Compliance, Legal, Distribution, Product, Risk, Operations, and Technology.

Requirements

• College degree or equivalent experience required.
• 5+ years of Brokerage industry experience.
• FINRA Series 7 Required.
• FINRA Series 24 Required (or FINRA Series 9/10).
• State Life & Health Insurance License (Preferred).
• FINRA Series 65/63 or 66 (Preferred).
• Experience in industry platform systems strongly preferred (i.e., Global Relay, FIS Supervision Compliance Manager, Pershing, Envestnet, RegEd, etc.).
• Ability to communicate effectively with all levels of staff and management.
• Ability to prioritize and multi-task with a high degree of accuracy.
• Ability to solve problems in a fast paced & ever-changing regulatory environment.
• Effective organization, time management, and follow up of work.
• Ability to obtain additional licensing, as required.

Responsibilities

• Partners with the Senior Wealth Supervision Manager on business-led strategic initiatives providing project oversight and facilitation.
• Partners with various members of the Supervision team including the Principal Review Unit and Central Supervision Unit team leads to improve overall effectiveness of controls and efficiency of processes.
• Partners with the Product and Operations departments to improve overall workflow and control effectiveness, including leveraging outside vendors and product providers.
• Partners with various members of the Supervision team to improve dashboards and reporting used for various purposes including business oversight and evidence of supervisory activities.
• Assists in new product launches, regulatory change management, or other key change initiatives, as assigned.
• Prepares various dashboard reporting used throughout U.S. Wealth to assist with oversight of key supervisory functions and identification of trends or patterns.
• Assists with the development and maintenance of the department's written supervisory and desktop procedures.
• Proactively identifies areas for process improvement and/or enhanced risk identification.

Benefits

• Base salary and variable compensation/incentive awards.
• 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 opportunities.
• Reward and recognition programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree