Wealth Controls & Regulatory Risk Manager

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

Job summary

TD Wealth is seeking a senior risk and regulatory program professional in Mount Laurel, NJ to execute and administer key compliance programs. You will monitor conflicts of interest, Regulation W, affiliate transactions, licensing and registration, and marketing oversight, partnering with Compliance, Legal, Risk, Operations and HR.

The role requires a Bachelor's degree, FINRA Series 24, and 5+ years in wealth management, governance or regulatory oversight.

Qualifications

• Bachelor's degree is required, advanced degree preferred
• Minimum 5+ years in wealth management, broker-dealer ops, risk, compliance or governance
• Must have FINRA Series 24
• Strong knowledge of SEC/FINRA/banking regs
• Experience interacting with regulators, auditors, executives

Responsibilities

• Coordinate administration of Wealth Conflicts of Interest program
• Maintain conflict inventories, logs and attestations
• Perform monitoring and escalate potential conflicts
• Prepare governance reporting and management review packages
• Support licensing and registration activities for personnel
• Monitor renewal requirements and continuing education
• Coordinate regulatory filings and updates
• Lead process improvements to reduce operational risk

Skills

Regulatory compliance

Risk management

Governance

Strategic thinking

Communication

Project management

Education

Bachelor's degree required; advanced degree preferred

FINRA Series 24

Job description

TD Wealth is seeking a senior risk and regulatory program professional in Mount Laurel, NJ to execute and administer key compliance programs. You will monitor conflicts of interest, Regulation W, affiliate transactions, licensing and registration, and marketing oversight, partnering with Compliance, Legal, Risk, Operations and HR.

The role requires a Bachelor's degree, FINRA Series 24, and 5+ years in wealth management, governance or regulatory oversight.