Wealth Market Compliance & Operations Manager

TD

Fort Lauderdale (FL)

On-site

USD 91,000 - 136,000

Full time

14 days+

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Job summary

TD Wealth in Fort Lauderdale, FL, is seeking a Market Supervision Manager to partner with the Wealth Market Leader and oversee supervisory, compliance and operational aspects of the business. This role requires FINRA Series 7, 24 and 66 (or equivalent), a Bachelor's degree, and 3+ years of supervisory experience within brokerage/financial services.

Strong leadership, communication and regulatory knowledge are essential, with the ability to travel up to 50% as needed to support multiple markets

Qualifications

Bachelor's degree preferred; 5+ years in financial services.
FINRA Series 7, 24 and 66 required.
3+ years of supervisory experience in brokerage, annuity, advisory, banking or lending.
Broad knowledge of regulatory frameworks that apply to TD Wealth.
Strong control and operational experience and knowledge.
Leadership, communication and influencing skills; ability to travel up to 50%.

Responsibilities

Supervise day-to-day supervisory, compliance and operational aspects of the business.
Partner with Wealth Market Leaders to lead and develop supported Market(s).
Lead and implement firmwide control, supervisory and operational excellence initiatives with supported WML(s).
Ensure timely responses to Compliance, Central Supervision and Audit, and other Reviews.
Participate in New Hire interview process with a focus on Compliance, Control, Supervisory and Operational concerns.
Review and approve Outside Business Activities in coordination with the WML(s).