TD Bank

Market Supervision Manager - Fort Lauderdale, FL

TD Bank • $91K — $136K *
Greenville, SC 29615In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree preferred with 5+ years of industry experience
  • FINRA Series 7, 24, and 66 (or equivalent) required
  • 3+ years of relevant supervisory experience in financial services
  • Strong knowledge of regulatory frameworks impacting TD Wealth
  • Proven leadership and communication skills to influence change
  • 50% travel required for the role

Responsibilities

  • Manage day-to-day supervisory and compliance functions for supported markets
  • Collaborate with Wealth Market Leaders to drive strategic market development
  • Lead control and operational excellence initiatives in partnership with WMLs
  • Ensure responses to compliance inquiries and audits are timely and effective
  • Oversee completion of compliance training and annual reviews
  • Handle escalated supervisory inquiries and customer complaints efficiently
  • Participate in the hiring process focusing on compliance and supervisory concerns

Benefits

  • Professional development and growth opportunities
  • Comprehensive compliance training provided
  • Supportive team environment fostering leadership skills
  • Access to resources for operational excellence initiatives
  • Travel opportunities across various market locations
Full Job Description
Work Location:
Fort Lauderdale, Florida, United States of America

Hours:
40

Pay Details:
$91,000 - $136,240 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:

The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected, on a delegated basis, to manage the day-today 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:
  • Bachelor's Degree preferred, 5+ industry experience
  • FINRA Series 7, 24 and 66 (or equivalent) required
  • 3+ yeas 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 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.

About TD Bank

TD Securities offers a range of advisory and capital market services to its clients. The company's range of services includes research, investment banking, capital markets, and global transaction banking. Research consists of commodity and equity research. Investment banking consists of mergers, acquisitions, industry expertise, and credit origination. Global transaction banking consists of trade finance, cash management, and correspondent banking. TD Securities was founded in 1855 and is based in Ontario.

TD Bank Careers

Join the vibrant team at TD Bank, one of North America's leading financial services organizations, where innovation, leadership, and growth go hand in hand. At TD Bank, we are committed to fostering a culture of diversity and inclusion, making it an ideal place for ambitious professionals to thrive. Work You’ll Do At TD Bank, your professional journey is bolstered by a robust support system. From your first interview to every career milestone, you will find opportunities for growth and leadership. Our team is dedicated to helping you develop the skills necessary for success in the ever-evolving financial sector. TD Bank offers a variety of job opportunities across multiple fields, from customer service to investment banking. Each position at TD Bank is a chance to contribute to our culture of innovation and exceptional client service. Internship Programs Kickstart your career with a TD Bank internship. Our programs provide invaluable industry exposure and hands-on experience, making them a perfect starting point for students and recent graduates eager to make their mark in the banking industry. Interns at TD Bank enjoy the unique opportunity to work alongside seasoned professionals, gaining insights that are crucial for future employment. Benefits and Growth TD Bank is deeply committed to the well-being and continuous growth of our team members. We offer competitive benefits packages that cover health, finance, and family care. Our employees enjoy comprehensive health insurance, retirement plans, and generous paid time off, among other perks. Moreover, TD Bank encourages professional development through various training programs, including leadership development and diversity training. These initiatives ensure that our team remains at the forefront of industry standards and best practices. Join Our Team Explore the numerous career paths available at TD Bank and discover how your skills and interests align with our mission. We are actively hiring and continually looking for talented individuals who are passionate about banking and customer service. Networking and Professional Development At TD Bank, we believe in the power of networking and collaboration. Our employees have access to a wide range of networking events, workshops, and seminars that promote career development and professional growth. These platforms not only enhance your professional skills but also expand your industry connections. Stay Connected Keep up to date with the latest at TD Bank Careers by subscribing to our job alert emails. Tailor your subscription to match your career preferences and get the latest news, insider tips, and job opportunities delivered straight to your inbox. Explore job opportunities at TD Bank and be part of a team that values hard work, creativity, and a diverse workplace culture. Your next great career move is just a click away. SEARCH TD BANK JOBS Join us at TD Bank and let your ambition lead you to a rewarding career filled with opportunities to learn, grow, and innovate.
Learn more about TD Bank
Size
90,000 employees
Market Cap
$117.9 billion
Industry
Finance & Insurance
Net Income
-$6.9 million
5 Year Trend
+6.6%
* Ladders Estimates

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