Market Supervision Manager - Vienna, VA

The Toronto-Dominion Bank

West Palm Beach, FL

JOB DETAILS
SALARY
$91,000–$145,600 Per Year
SKILLS
Annuities, Auditing, Background Investigation, Banking Services, Brokerage, Career Development, Centralized Operations/Management, Credit Reports, Customer Experience, Customer Relations, Customer Support/Service, Federal Laws and Regulations, Financial Services, Global Financial Markets, Government, Knowledge Base, Leadership, Lift/Move 25 Pounds, Litigation, Loans, Maintain Compliance, Mentoring, Multitasking, Office Equipment, Onboarding, Operational Control, People Management, Process Improvement, Regulations, Risk, Time Management, Training/Teaching, WML (Wireless Markup Language), Willing to Travel, eLearning
LOCATION
West Palm Beach, FL
POSTED
30+ days ago

Work Location: Vienna, Virginia, United States of America Hours: 40 Pay Details: $91,000 - $145,600 USD

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: TD Wealth

Job Description: The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected, on a delegated basis, to manage the day-to-day supervisory, compliance, and operational aspects of the business in order to achieve our strategic objectives for the Market(s).

Depth & Scope:

  • FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s)
  • Strategically partners with WML(s) to lead and develop supported Market(s)
  • Leads and implements business and firmwide control, supervisory, and operational excellence initiatives with supported WML(s)
  • Ensures timely and effective response to Compliance, Central Supervision, and Audit, Compliance or other Reviews
  • Ensures timely completions of required learnings, compliance training, new product or service trainings, etc
  • Ensures timely and effective completion of annual and new account reviews, high-risk account reviews, etc
  • Addresses and resolves escalated Supervisory inquiries
  • Participates in New Hire interview process with a focus on Compliance, Control, Supervisory, and Operational concerns
  • Manages all trade corrections in cooperation with Operations, Compliance, and WMLs
  • Reviews and approves Outside Business Activities in coordination with the WML(s)
  • Assists in the resolution of customer complaints

Education & Experience:

  • Bachelors Degree preferred, 5+ 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
  • Strong Control and Operational experience and knowledge
  • Leadership, communication, and influencing skills to drive change
  • Ability to travel 50% of time

Preferred Skills:

  • Exposure to or previous work with major financial service regulators including OCC and FINRA.

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;
  • the Firms obligation to verify the accuracy and completeness of the information contained on the applicant's 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 95,000 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: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll 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 you're 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 you've got everything you need to succeed in your new role.

Interview Process We'll 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 USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the applicant process.

About the Company

T

The Toronto-Dominion Bank