Wealth Risk & Controls Manager

TD Bank Group; Mount Laurel Township, Northern (NJ, KY); Hybrid; USD 91,000 - 146,000; Full time

Job summary

TD Bank Group seeks a Manager, Wealth Business Controls in Mount Laurel, NJ. The role supports regulatory and risk management programs across TD Wealth, coordinating conflicts of interest, Regulation W, affiliate transactions, licensing, and marketing supervision.

You will liaise with Compliance, Legal, Risk, Operations, and HR to ensure controls are effectively executed and documented. The role requires a Bachelor’s degree, 5+ years in wealth management or compliance, and FINRA Series 24.

Qualifications

• Bachelor's degree required; advanced degree preferred.
• 5+ years of experience in wealth management, broker-dealer operations, or compliance.
• Must have FINRA Series 24.
• Strong knowledge of SEC, FINRA, Federal Reserve, and banking regulatory requirements.
• Experience interacting with regulators, auditors, and senior executives.

Responsibilities

• Coordinate administration of Wealth Conflicts of Interest program.
• Maintain conflict inventories, logs, attestations, and documentation.
• Monitor and escalate potential conflicts.
• Prepare governance reporting packages.
• Support licensing and registration activities for personnel.
• Monitor marketing and advertising supervision requirements.

Skills

Regulatory knowledge

Governance frameworks

Risk management

Communication skills

Project management

Cross-functional collaboration

Process improvement

Lean Six Sigma

Education

Bachelor's degree

FINRA Series 24

Tools

Microsoft Office

Lean Six Sigma

Job description

TD Bank Group seeks a Manager, Wealth Business Controls in Mount Laurel, NJ. The role supports regulatory and risk management programs across TD Wealth, coordinating conflicts of interest, Regulation W, affiliate transactions, licensing, and marketing supervision.

You will liaise with Compliance, Legal, Risk, Operations, and HR to ensure controls are effectively executed and documented. The role requires a Bachelor’s degree, 5+ years in wealth management or compliance, and FINRA Series 24.