Work Location:Boston, Massachusetts, United States of America
Hours:40
Pay Details:$200,000 - $280,000 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 candidate's 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:effective execution of advisor lifecycle management, compensation infrastructure, regulatory and operational controls, and business performance analytics, while enabling scalable growth and strong advisor productivity. Acts as a critical partner to Sales, Risk, Compliance, Finance, and Banking leadership to drive operational excellence, enhance advisor experience, and maintain a robust control environment.
Depth & Scope:- Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
- Provides leadership over sales and distribution support infrastructure, ensuring advisors have the tools, processes, and insights needed to grow and retain client relationships
- Partners with sales leadership to drive advisor productivity, practice management, and field engagement initiatives
- Supports referral programs and collaboration with banking partners, including QKA alignment and optimization
- Enables advisors and field leaders with the tools, processes, insights, and operating support needed to grow and retain client relationships, strengthen practice management, and improve the advisor experience
- Oversees advisor onboarding and offboarding processes, ensuring efficient, compliant transitions across the advisor lifecycle
- Partners with field leadership to support organizational structure, territory alignment, and advisor engagement models
- Establishes consistent processes and governance for field support functions
- Leads design, implementation, and ongoing governance of advisor compensation plans aligned to firm strategy and regulatory expectations
- Oversees vendor relationships for compensation administration and ensures accuracy, transparency, and timeliness of payouts
- Develops and maintains internal goaling methodologies tied to performance, growth, and profitability metrics
- Develops analytics framework to assess advisor performance, productivity, and profitability across segments
- Delivers actionable insights to senior leadership and field management to support strategic decision-making
- Partners with Finance and Data & Analytics teams to ensure data integrity and reporting consistency
- Leads governance across conflicts of interest management, incident management and escalation protocols, privacy and data protection programs and End-User Computing (EUC) governance
- Ensures adherence to SEC/FINRA regulatory requirements and internal risk frameworks
- Drives continuous improvement of controls, documentation standards, and audit readiness
- Oversees advisor licensing and registration processes, ensuring compliance with all regulatory requirements
- Maintains proactive oversight of registration status, continuing education, and jurisdictional requirements
- Partners with Compliance to manage regulatory examinations and inquiries
- Leads vendor governance framework across administrative functions, including compensation partners and operational vendors
- Establishes performance standards, service level agreements (SLAs), and ongoing monitoring processes
- Ensures appropriate risk management and due diligence for all third-party relationships
- Owns and maintains Business Continuity Planning (BCP) framework for the wealth business
- Ensures operational resilience through testing, scenario planning, and recovery readiness
- Coordinates with enterprise risk and technology teams on disaster recovery alignment
- Acts as a key liaison across Wealth, Banking, Risk, Compliance, Finance, and Technology
- Drives cross-functional initiatives to improve client and advisor experience
- Builds and leads high-performing teams, fostering a culture of accountability, control discipline, and continuous improvement
- Drives disciplined execution, scalable growth, advisor productivity, compensation governance, vendor performance, regulatory readiness, control effectiveness, data integrity, business continuity readiness, and analytics-informed decision-making across the wealth business
- Builds and leads high-performing teams, fosters accountability and control discipline, promotes continuous improvement, and influences senior stakeholders across Wealth, Banking, Risk, Compliance, Finance, Technology, and Data and Analytics
Education & Experience:- Bachelor's Degree required
- 15+ years of experience in wealth management, broker-dealer operations, or financial services leadership
- Deep understanding of advisor business models, compensation structures, and field dynamics
- Strong knowledge of regulatory frameworks (SEC, FINRA, privacy regulations)
- S24 and/or S27 licensing required
- Proven experience in operational governance, risk management, and control frameworks
- Experience managing vendor relationships and large-scale operational programs
- Demonstrated ability to lead analytics-driven decision-making and performance management
- Executive presence with the ability to influence senior stakeholders
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 Firm's 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 applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's 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.
