Manager, Wealth Business Controls Mount Laurel, NJ

Work Location:

Hours:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Job Description:

This role supports the execution and administration of key regulatory supervisory and risk management programs across TD Wealth. Responsible for the day-to-day implementation monitoring reporting and control activities related to Conflicts of Interest Regulation W Transactions with Affiliates Licensing & Registration Marketing Review and Business Continuity Planning. This role is a liaison with business partners Compliance Legal Risk Operations and Human Resources to ensure regulatory requirements supervisory controls and program standards are effectively executed and maintained.

Depth & Scope:

• Coordinates administration of the Wealth Conflicts of Interest program
• Maintains conflict inventories logs attestations and supporting documentation
• Performs monitoring activities and identifies potential conflicts requiring escalation
• Tracks mitigation activities and facilitates follow-up with business stakeholders
• Prepares reporting packages for governance committees and management review
• Supports licensing and registration activities for registered personnel
• Monitors renewal requirements continuing education obligations and registration statuses
• Coordinates regulatory filings amendments and updates
• Tracks exceptions and partners with Human Resources and Compliance to resolve deficiencies
• Maintains accurate records and documentation supporting regulatory requirements
• Coordinates workflow associated with review and approval of marketing materials and sales communications
• Ensures submissions are routed through appropriate approval channels
• Monitors turnaround times and approval status
• Maintains records and evidence supporting supervisory review requirements
• Assists with implementation of enhancements to marketing supervision processes
• Performs monitoring and documentation activities supporting Regulation W compliance
• Maintains inventories of affiliate arrangements and transactions
• Coordinates reviews and approvals with affected stakeholders
• Identifies exceptions escalates concerns and supports remediation activities
• Prepares reporting and documentation for periodic reviews and examinations
• Supports maintenance of Wealth Management business continuity plans
• Coordinates annual reviews testing exercises and recovery validation activities
• Tracks action items resulting from testing exercises
• Maintains documentation and evidence supporting program compliance
• Supports crisis management and incident response activities as needed
• Tracks compliance audit and regulatory findings
• Maintains issue logs and remediation plans
• Coordinates collection of supporting documentation and evidence
• Monitors action plan progress and escalates overdue items
• Supports responses to internal audits compliance reviews and regulatory examinations
• Identifies opportunities to streamline oversight supervisory and control processes across Wealth Management
• Leads process improvement initiatives focused on reducing operational risk enhancing efficiency and improving the employee and client experience
• Applies Lean Six Sigma and continuous improvement methodologies to eliminate process inefficiencies manual touchpoints and control gaps
• Conducts process mapping root cause analysis and workflow reviews to improve effectiveness and scalability
• Develops and monitors key performance indicators (KPIs) and process metrics to measure operational performance and identify trends
• Partners with Technology Operations Compliance and business stakeholders to implement process automation and digital solutions
• Supports implementation of enhanced workflows monitoring routines reporting tools and governance processes
• Drives continuous improvement efforts resulting from audits regulatory examinations quality assurance reviews and business feedback
• Assists with implementation and maintenance of procedures and control documentation
• Conducts periodic control reviews and self-assessments
• Supports testing and validation of key controls
• Identifies opportunities for process improvements and operational efficiencies
• Produces recurring management reports dashboards and metrics
• Monitors trends exceptions and key risk indicators
• Coordinates meetings governance materials and follow-up actions
• Supports communications and training efforts related to oversight programs

Education & Experience:

• Bachelors degree required; advanced degree preferred
• 5 years of experience within wealth management broker-dealer operations investment advisory services risk management compliance regulatory oversight or operational governance
• Must have FINRA Series 24
• Strong knowledge of SEC FINRA Federal Reserve and banking regulatory requirements
• Experience interacting with regulators auditors compliance functions and senior executives
• Demonstrated experience implementing governance frameworks and regulatory control programs
• Strong knowledge of conflicts of interest frameworks and governance Regulation W requirements affiliate transactions oversight marketing and advertising supervision requirements Business Continuity and Operational Resilience programs Wealth Management products services and distribution channels
• Strategic thinking and problem solving
• Strong regulatory and risk management acumen
• Excellent communications and executive presentation skills
• Ability to influence across multiple stakeholder groups
• Strong project management and execution capabilities
• Proven ability to manage multiple priorities in a complex regulatory environment

OCC Language:

• This position is with a FINRA member broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e) including: the Firms obligation to investigate the good character business reputation qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicants Form U4 with the CRD and before representing on the applicants Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicants Form U4; and the Firms obligation to verify the accuracy and completeness of the information contained on the applicants Form U4 no later than 30 calendar days after the Form U4 is filed with FINRA.
• Satisfactory results on a criminal background check credit report check civil litigation search and regulatory agency or self-regulatory organization enforcement action search and statements/certification from job applicant regarding administrative civil and/or criminal findings by any government agency/authority or self-regulatory organization are required by federal law for this position.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading writing and comprehending instructions Continuous
• Adding subtracting multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.