Market Supervision Manager

Work Location

Melville, New York, États-Unis d'Amérique

40

$91,000 - $145,600 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Gestion de patrimoine TD

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).

• 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

• 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

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4;
  
  and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with 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.

Never: 0%;
Occasional: 1-33%;
Frequent: 34-66%;
Continuous: 67-100%

• Domestic Travel – Occasional
• Internatio…