Market Supervision Manager at TD Wealth managing supervisory and compliance operations. Collaborating with Wealth Market Leaders for strategic objectives and operational excellence in New York and New Jersey.
Responsibilities
Manage day-to-day supervisory, compliance and operational aspects of the business
Partner with Wealth Market Leader(s)
Lead and implement control, supervisory and operational excellence initiatives
Ensure timely and effective response to Compliance and Audit Reviews
Participate in New Hire interview process
Manage all trade corrections in cooperation with Operations, Compliance and WMLs
Requirements
Bachelor's Degree preferred
5+ years 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
Strong Control and Operational experience and knowledge
Benefits
Health insurance
401(k) matching
Flexible work hours
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
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