About this role
Role Overview
- Partner closely with the Wealth Market Leader(s)
- Manage day-to-day supervisory, compliance, and operational aspects of the business
- Ensure timely and effective response to Compliance, Central Supervision, and Audit Reviews
- Manage all trade corrections in cooperation with Operations, Compliance, and WMLs
Requirements
- Bachelor's Degree preferred
- 5+ years of industry experience
- FINRA Series 7, 24, and 66 (or equivalent) required
- 3+ years of relevant supervisory experience in brokerage, annuity, advisory, banking, and lending activity
- Broad knowledge base and experience in Financial Services with sound understanding of regulatory frameworks that apply to TD Wealth
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
- Banking benefits and discounts
- Reward and recognition programs