Wealth Compliance & Controls Leader

TD; Mount Laurel Township (NJ); On-site; USD 91,000 - 146,000; Full time

Job summary

TD in Mount Laurel, New Jersey, seeks an experienced regulatory, risk, and governance professional to support key programs across TD Wealth. You will implement, monitor, and report on conflicts of interest, Regulation W, and affiliate transactions while collaborating with Compliance, Legal, Risk, Operations, and Human Resources to ensure regulatory requirements are met.

The role emphasizes proactive oversight, documentation, and continuous improvement of supervisory controls, marketing reviews,

Qualifications

• Bachelor's degree required; advanced degree preferred.
• 5+ years of experience within wealth management, broker-dealer operations, investment advisory services, risk management, compliance, regulatory oversight, or operational governance.
• Must have FINRA Series 24.
• Strong knowledge of SEC, FINRA, Federal Reserve, and banking regulatory requirements.
• Experience interacting with regulators, auditors, compliance functions, and senior executives.
• Demonstrated experience implementing governance frameworks and regulatory control programs.

Responsibilities

• 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
• Maintains accurate records and documentation supporting regulatory requirements

Skills

Regulatory compliance

Risk management

Regulatory oversight

Communication skills

Project management

Education

Bachelor's degree

Advanced degree preferred

FINRA Series 24

Tools

SEC/FINRA regulations

Job description

TD in Mount Laurel, New Jersey, seeks an experienced regulatory, risk, and governance professional to support key programs across TD Wealth. You will implement, monitor, and report on conflicts of interest, Regulation W, and affiliate transactions while collaborating with Compliance, Legal, Risk, Operations, and Human Resources to ensure regulatory requirements are met.

The role emphasizes proactive oversight, documentation, and continuous improvement of supervisory controls, marketing reviews,