Wealth Controls & Regulatory Risk Lead

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

Job summary

TD Bank, N.A. in Mount Laurel, New Jersey is seeking a Wealth Compliance professional to execute and oversee regulatory programs across TD Wealth.

You will manage conflicts of interest, Regulation W, licensing, and marketing review, partnering with Compliance, Legal, Risk, Ops, and HR to ensure controls are in place. The role requires strong governance knowledge, experience in wealth management, and FINRA Series 24.

Qualifications

• Bachelor's degree required per job posting.
• FINRA Series 24 certification required or preferred as stated.

Responsibilities

• Coordinate administration of wealth conflicts of interest program.
• Maintain conflict inventories, logs, attestations, and docs.
• Monitor activities and escalate potential conflicts.
• Track mitigation with stakeholders and governance reporting.
• Support licensing and registration for personnel.
• Coordinate reviews of marketing materials and approvals.
• Maintain records supporting regulatory requirements.
• Assist with governance frameworks and control programs.
• Produce periodic governance reports and KPIs.

Education

Bachelor's degree

FINRA Series 24

Job description

TD Bank, N.A. in Mount Laurel, New Jersey is seeking a Wealth Compliance professional to execute and oversee regulatory programs across TD Wealth.

You will manage conflicts of interest, Regulation W, licensing, and marketing review, partnering with Compliance, Legal, Risk, Ops, and HR to ensure controls are in place. The role requires strong governance knowledge, experience in wealth management, and FINRA Series 24.