Manager, Wealth Business Controls - Mount Laurel, NJ

Job Title

This role supports the execution and administration of key regulatory, supervisory, and risk management programs across TD Wealth.

Responsible for the day-to-day implementation, monitoring, reporting, and control activities related to Conflicts of Interest, Regulation W, Transactions with Affiliates, Licensing & Registration, Marketing Review, and Business Continuity Planning. This role is a liaison with business partners, Compliance, Legal, Risk, Operations, and Human Resources to ensure regulatory requirements, supervisory controls, and program standards are effectively executed and maintained.

Coordinates administration of the Wealth Conflicts of Interest program

Maintains conflict inventories, logs, attestations, and supporting documentation

Performs monitoring activities and identifies potential conflicts requiring escalation

Tracks mitigation activities and facilitates follow-up with business stakeholders

Prepares reporting packages for governance committees and management review

Supports licensing and registration activities for registered personnel

Monitors renewal requirements, continuing education obligations, and registration statuses

Coordinates regulatory filings, amendments, and updates

Tracks exceptions and partners with Human Resources and Compliance to resolve deficiencies

Maintains accurate records and documentation supporting regulatory requirements

Coordinates workflow associated with review and approval of marketing materials and sales communications

Ensures submissions are routed through appropriate approval channels

Monitors turnaround times and approval status

Maintains records and evidence supporting supervisory review requirements

Assists with implementation of enhancements to marketing supervision processes

Performs monitoring and documentation activities supporting Regulation W compliance

Maintains inventories of affiliate arrangements and transactions

Coordinates reviews and approvals with affected stakeholders

Identifies exceptions, escalates concerns, and supports remediation activities

Prepares reporting and documentation for periodic reviews and examinations

Supports maintenance of Wealth Management business continuity plans

Coordinates annual reviews, testing exercises, and recovery validation activities

Tracks action items resulting from testing exercises

Maintains documentation and evidence supporting program compliance

Supports crisis management and incident response activities as needed

Tracks compliance, audit, and regulatory findings

Maintains issue logs and remediation plans

Coordinates collection of supporting documentation and evidence

Monitors action plan progress and escalates overdue items

Supports responses to internal audits, compliance reviews, and regulatory examinations

Identifies opportunities to streamline oversight, supervisory, and control processes across Wealth Management

Leads process improvement initiatives focused on reducing operational risk, enhancing efficiency, and improving the employee and client experience

Applies Lean, Six Sigma, and continuous improvement methodologies to eliminate process inefficiencies, manual touchpoints, and control gaps

Conducts process mapping, root cause analysis, and workflow reviews to improve effectiveness and scalability

Develops and monitors key performance indicators (KPIs) and process metrics to measure operational performance and identify trends

Partners with Technology, Operations, Compliance, and business stakeholders to implement process automation and digital solutions

Supports implementation of enhanced workflows, monitoring routines, reporting tools, and governance processes

Drives continuous improvement efforts resulting from audits, regulatory examinations, quality assurance reviews, and business feedback

Assists with implementation and maintenance of procedures and control documentation

Conducts periodic control reviews and self-assessments

Supports testing and validation of key controls

Identifies opportunities for process improvements and operational efficiencies

Produces recurring management reports, dashboards, and metrics

Monitors trends, exceptions, and key risk indicators

Coordinate…